SP
Samuel J. Paolino
CETERA INVESTMENT ADVISERS LLC
HADDON HEIGHTS, NJ 08035
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CRD#: 2975557
SP
Professional summary
Samuel James Paolino JR is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Haddon Heights, New Jersey and CETERA FINANCIAL SPECIALISTS LLC located in Haddon Heights, New Jersey.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Samuel has worked at 9 firms and has passed the 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: RAFTER, LEWIS & PAOLINO FINANCIAL ADVISORS INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 7/2022, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: ROSENTHAL CPA COMPANY; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVCIES; START DATE: 6/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Samuel James Paolino JR'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
June 14, 2011 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6 White Horse Pike Suite 1a, Haddon Heights, NJ 08035RIA
CRD#: 105644
HADDON HEIGHTS, NJ
Current
June 3, 2010 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 6 White Horse Pike Suite 1a, Haddon Heights, NJ 08035BD
CRD#: 10358
Haddon Heights, NJ
Past
April 24, 2015 - January 25, 2016
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
Schaumburg, IL
Past
February 4, 2009 - May 3, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
WAYNE, PA
Past
October 23, 2007 - January 30, 2009
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
Past
November 1, 2004 - August 15, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RALEIGH, NC
Past
July 30, 2002 - September 20, 2004
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
HARTFORD, CT
Past
October 21, 1999 - June 25, 2002
GIRARD INVESTMENT SERVICES, LLC
BD
CRD#: 1834
SOUDERTON, PA
Past
November 24, 1998 - June 18, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 27, 1998 - October 8, 1998
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
HARTFORD, CT
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
Alabama(10/3/2022)
RR
California(10/3/2022)
RR
Delaware(6/3/2010)
RR
District of Columbia(6/3/2010)
RR
Florida(2/22/2024)
RR
Hawaii(1/10/2025)
RR
Illinois(1/3/2011)
RR
Maine(9/3/2024)
RR
Maryland(6/3/2010)
RR
Massachusetts(3/21/2023)
RR
New Hampshire(4/25/2023)
RR
New Jersey(6/3/2010)
IAR
New Jersey(9/22/2021)
RR
New York(10/3/2022)
RR
North Carolina(10/3/2022)
RR
Pennsylvania(6/3/2010)
IAR
Pennsylvania(6/14/2011)
RR
Virginia(3/21/2023)
Exams
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
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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.
