MC
Mario C. Califano
CETERA INVESTMENT ADVISERS LLC
STATEN ISLAND, NY 10312
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CRD#: 2807356
MC
Professional summary
Mario C Califano, who also goes by Mario Califano, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Staten Island, New York and CETERA FINANCIAL SPECIALISTS LLC located in Staten Island, New York.
Mario is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Mario has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mario Califano
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: CALIFANO FINANCIAL SERVICES CORP, MARIO C. CALIFANO CPA
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: ACCOUNTING & TAX SERVICES
START DATE: 10/2002
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
POSITION/TITLE/RELATIONSHIP: CPA
BRIEF DESCRIPTION OF DUTIES: 100% OWNER
2) NAME OF OTHER BUSINESS: CALICO CORP
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: HOLDING COMPANY FOR INVESTMENTS
START DATE: 12/2016
APX NUMBER OF HOURS PER WEEK: 3
APX NUMBER OF HOURS DURING TRADING HOURS: 3
POSITION/TITLE/RELATIONSHIP: PRESIDENT
BRIEF DESCRIPTION OF DUTIES: 50% OWNER
3) NAME OF OTHER BUSINESS: MC CALICO CORP
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: HOLDING COMPANY FOR INVESTMENTS
START DATE: 12/2016
APX NUMBER OF HOURS PER WEEK: 3
APX NUMBER OF HOURS DURING TRADING HOURS: 3
POSITION/TITLE/RELATIONSHIP: PRESIDENT
BRIEF DESCRIPTION OF DUTIES: 100% OWNER
4) NAME OF OTHER BUSINESS: LC CALICO CORP
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: HOLDING COMPANY FOR INVESTMENTS
START DATE: 12/2016
APX NUMBER OF HOURS PER WEEK: 3
APX NUMBER OF HOURS DURING TRADING HOURS: 3
POSITION/TITLE/RELATIONSHIP: TREASURER
BRIEF DESCRIPTION OF DUTIES: SPOUSES INVESTMENT HOLDING COMPANY
5) NAME OF OTHER BUSINESS: FAMILY ESTATE ;
INVESTMENT RELATED: NO
ADDRESS: 426 HUGUENOT AVE, STATEN ISLAND NY 10312 ;
NATURE OF BUSINESS: ESTATE ;
START DATE: 02/2020
POSITION/TITLE/RELATIONSHIP: EXECTUTOR
APX NUMBER OF HOURS PER WEEK: 1
APX NUMBER OF HOURS DURING TRADING HOURS: 1
BRIEF DESCRIPTION OF DUTIES: MANAGE AND DISTRIBUTE ASSETS ACCORDING TO ESTATE ;
CRS (Client Relationship Summary) - RIA
Click below to view Mario C Califano'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®
NoneExperience
Current
April 12, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 426 Huguenot Avenue, Staten Island, NY 10312RIA
CRD#: 105644
STATEN ISLAND, NY
Current
October 24, 2005 - Present
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
STATEN ISLAND, NY
Past
October 11, 2001 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
Past
February 19, 1997 - August 29, 2001
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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
California(10/5/2018)
RR
Florida(10/24/2005)
RR
Georgia(10/5/2018)
RR
New Jersey(10/24/2005)
RR
New York(10/24/2005)
IAR
New York(4/12/2021)
RR
North Carolina(1/19/2024)
RR
Tennessee(1/8/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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.
