KC
Kevin J. Cicci
CWM
Foxborough, MA 02035
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CRD#: 2682323
KC
Professional summary
Kevin James Cicci, AIF® is a registered financial advisor currently at CWM, LLC located in Foxborough, Massachusetts and CETERA INVESTMENT ADVISERS LLC located in Foxborough, Massachusetts.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON GROUP PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES. POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 09/2019 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY REPRESENTATIVE 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 09/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE 3. NAME OF OTHER BUSINESS: DC ADVISORS, LLC; INVESTMENT RELATED: YES; ADDRESS: 101 ENDEAN DRIVE E WALPOLE MA 02032; NATURE OF BUSINESS: DBA FOR EXPENSES; START DATE: 8/2020; POSITION/TITLE/RELATIONSHIP: OWNER/MANAGING PARTNER; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR EXPENSES;
CRS (Client Relationship Summary) - RIA
Click below to view Kevin James Cicci's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
September 5, 2019 - Present
CWM, LLC
Office #1: 16 Chesnut St. Suite 111, Foxborough, MA 02035RIA
CRD#: 155344
Foxborough, MA
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 16 Chestnut St Suite 111, Foxborough, MA 02035RIA
CRD#: 105644
FOXBOROUGH, MA
Current
September 5, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 16 Chestnut St Suite 111, Foxborough, MA 02035BD
CRD#: 13572
Foxborough, MA
Past
September 5, 2019 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
FOXBORO, MA
Past
January 3, 2012 - September 25, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
FOXBOROUGH, MA
Past
December 20, 2011 - September 25, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
FOXBOROUGH, MA
Past
September 12, 2007 - December 21, 2011
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
FOXBOROUGH, MA
Past
January 6, 2005 - December 21, 2011
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
FOXBOROUGH, MA
Past
April 6, 1999 - January 5, 2005
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
February 22, 1996 - January 13, 1999
TRANSAMERICA SECURITIES SALES CORPORATION
BD
CRD#: 17970
LOS ANGELES, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/13/2025)
RR
California(2/21/2025)
RR
Connecticut(9/5/2019)
RR
Florida(9/5/2019)
RR
Illinois(9/5/2019)
RR
Maine(9/5/2019)
RR
Maryland(9/5/2019)
RR
Massachusetts(9/5/2019)
IAR
Massachusetts(9/12/2019)
RR
New Hampshire(9/5/2019)
IAR
New Hampshire(4/1/2025)
RR
New York(9/5/2019)
RR
North Carolina(9/30/2019)
RR
Ohio(9/5/2019)
RR
Pennsylvania(6/1/2022)
RR
Rhode Island(9/5/2019)
RR
South Carolina(9/5/2019)
RR
Tennessee(6/21/2023)
RR
Texas(9/5/2019)
IAR
Texas(9/5/2019)
RR
Vermont(9/5/2019)
RR
Virginia(4/4/2025)
RR
Wisconsin(9/5/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Foxborough, MA 02035TRUST BUT VERIFY
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