AL
Anthony Lopopolo
CETERA INVESTMENT ADVISERS LLC
Sandwich, MA
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CRD#: 3054422
AL
Professional summary
Anthony Lopopolo is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sandwich, Massachusetts and CETERA WEALTH SERVICES, LLC located in Worcester, Massachusetts.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Anthony has worked at 5 firms and has passed the Series 63, SIE, Series 7 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.
NAME OF ENTITY:Archstone Group; Yes; 329 GROVE ST; WORCESTER; MA; 1605; Financial Services/DBA; Managing Partner; 5/1/2015; 160; 160; Sale of fixed insurance, securities, and investment products.|NAME OF ENTITY:Archstone Financial; Yes; 347 GROVE ST; WORCESTER; MA; 1605; Financial Services/DBA; Managing Partner; 5/1/2015; 160; 160; Sale of fixed insurance, securities, and investment products.|NAME OF ENTITY: Independent Insurance Agent; Yes; 340 GROVE ST; WORCESTER; MA; 1605; fixed insurance sales; independent insurance agent; 2/28/2014; 160; 160; sales of fixed insurance|NAME OF ENTITY:Anthony Lopopolo- Fishing; No; 215 Ball Hill Road; Princeton; MA; 01541; Commercial Fishing; Owner; 9/1/2020; 8; 0; Commercial fishing permit for Tuna and have the ability to sell Bluefin Tuna.|
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Lopopolo'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 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 324 Grove Street, Worcester, MA 01605RIA
CRD#: 105644
Sandwich, MA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 324 Grove Street, Worcester, MA 01605BD
CRD#: 13572
Worcester, MA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 21, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Worcester, MA
Past
February 28, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Worcester, MA
Past
July 23, 2013 - March 5, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
WORCESTER, MA
Past
July 5, 2007 - October 11, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
WORCESTER, MA
Past
July 27, 1998 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 27, 1998 - March 5, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
WORCESTER, 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(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(1/5/2024)
RR
Connecticut(6/9/2021)
RR
Florida(6/11/2021)
RR
Georgia(6/9/2021)
RR
Hawaii(1/29/2025)
RR
Kansas(1/4/2024)
RR
Maine(6/9/2021)
RR
Maryland(1/10/2024)
RR
Massachusetts(6/9/2021)
IAR
Massachusetts(6/29/2023)
RR
Michigan(1/8/2024)
RR
Nevada(1/11/2024)
RR
New Hampshire(6/9/2021)
RR
New Jersey(1/4/2024)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Ohio(1/11/2022)
RR
Pennsylvania(6/9/2021)
RR
Rhode Island(6/9/2021)
RR
South Carolina(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(1/9/2024)
RR
Vermont(10/26/2021)
RR
Virginia(6/9/2021)
Exams
State Security Law 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.
