Michele C. Dillon

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CRD#: 2853217

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michele Constance Dillon, CIMA®, CPWA®, who also goes by Michele Dillon-dirienzi, Michele Constance Dirienzi, Michele Dirienzi, Michele Constance Dillon, was a registered financial professional .

Michele is a previously registered financial professional and started their career in finance in 1997. Michele had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michele Dillon-Dirienzi | Michele Constance Dirienzi | Michele Dirienzi | Michele Constance Dillon

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: N/A INVESTMENT RELATED: NO, ADDRESS: 12730 SORRENTO WAY, UNIT 204, LAKEWOOD RANCH, FL 34211, NATURE OF BUSINESS: RENTAL PROPERTY, START DATE: 05/2024, POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: RENTING RECENT CONDO PURCHASE TO ORIGINAL OWNERS;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2015-11-10

Expire date: 2023-02-28

Experience

Past

June 29, 2023 - April 29, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Media, PA

Past

September 8, 2022 - April 29, 2025

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

May 26, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Media, PA

Past

May 25, 2021 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

May 25, 2021 - April 29, 2025

RIA

CRD#: 107105

WILMINGTON, DE

Past

October 5, 2004 - June 1, 2006

BLACKROCK CAPITAL MANAGEMENT, INC.

RIA

CRD#: 108069

WILMINGTON, DE

Past

April 3, 1997 - April 2, 2009

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

WILMINGTON, DE

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".

CETERA INVESTMENT ADVISERS LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/27/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/23/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/1997

General Securities Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Michele C. Dillon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

FIRST ALLIED SECURITIES, INC.

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RUSSELL INVESTMENTS

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

RUSSELL INVESTMENTS

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

BLACKROCK FINANCIAL MANAGEMENT, INC

BLACKROCK CAPITAL MANAGEMENT, INC.

BLACKROCK INVESTMENTS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/2004

Series 63

Date: 4/23/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/2/1997

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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