RD
Richard L. Dalzotto
CETERA INVESTMENT ADVISERS LLC
Canonsburg, PA 15317
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CRD#: 2857324
RD
Professional summary
Richard Lee Dalzotto is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Canonsburg, Pennsylvania and CETERA ADVISORS LLC located in Canonsburg, Pennsylvania.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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: FIXED INSURANCE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/1995 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE; 2. NAME OF OTHER BUSINESS: SOUTH HILLS FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/1995 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 POSITION/TITLE/RELATIONSHIP: PRESIDENT AND OWNER BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SERVICES TO CLIENTS; 3. NAME OF OTHER BUSINESS: BOY SCOUTS OF AMERICA INVESTMENT RELATED: NO ADDRESS: 3319 WEST LIBERTY AVENUE PITTSBURGH, PA15216 NATURE OF BUSINESS: COMMUNITY SERVICE START DATE: 03/2019 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: CHARTERED ORGANIZATION REPRESENTATIVE BRIEF DESCRIPTION OF DUTIES: IN CHARGE OF THE RELATIONSHIP BETWEEN THE BOY SCOUT TROOP AND THE CHURCH;
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lee Dalzotto'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
November 18, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4050 Washington Road Suite 3-0a, Canonsburg, PA 15317RIA
CRD#: 105644
Canonsburg, PA
Current
November 18, 2024 - Present
CETERA ADVISORS LLC
Office #1: 4050 Washington Road Suite 3-0a, Canonsburg, PA 15317BD
CRD#: 10299
CANONSBURG, PA
Past
June 2, 2006 - November 19, 2024
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
BEDMINSTER, NJ
Past
September 20, 2004 - June 2, 2006
THE INVESTMENT CENTER, INC.
RIA
CRD#: 17839
CANONSBURG, PA
Past
September 20, 2004 - November 19, 2024
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
CANONSBURG, PA
Past
July 6, 2004 - September 21, 2004
HEFREN-TILLOTSON, INC.
RIA
CRD#: 53
PITTSBURGH, PA
Past
September 11, 2002 - September 21, 2004
HEFREN-TILLOTSON, INC.
BD
CRD#: 53
PITTSBURGH, PA
Past
March 31, 1997 - September 24, 2002
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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(11/18/2024)
RR
California(11/18/2024)
RR
Colorado(11/18/2024)
RR
Florida(11/18/2024)
RR
New York(11/18/2024)
RR
Ohio(11/19/2024)
RR
Pennsylvania(11/18/2024)
IAR
Pennsylvania(11/18/2024)
RR
South Carolina(11/18/2024)
RR
Virginia(11/18/2024)
RR
West Virginia(11/18/2024)
RR
Wisconsin(11/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
