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PP

Paul N. Petronelli

CETERA INVESTMENT ADVISERS LLC
DARTMOUTH, MA 02747
Some features on this profile are disabled
CRD#: 3138832
PP

Professional summary

Paul Nicholas Petronelli JR, who also goes by Paul Nicholas Petronelli, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dartmouth, Massachusetts and CETERA WEALTH SERVICES, LLC located in Dartmouth, Massachusetts.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Paul has worked at 8 firms and has passed the Series 65, Series 63, Series 62, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Paul Nicholas Petronelli

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 ENTITY:The Nemasket Group; No; 109 Fairhaven Road; Mattapoisett; MA; 02739; Charity/Community Service; Board of Directors Member; 1/1/2009; 4; 4; Fund raising, charity events, future planning 2. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 500 FAUNCE CORNER RD BLDG 100 STE 130; DARTMOUTH; MA; 2747; fixed insurance sales; Independent Insurance Agent; 1/26/2009; 160; 160; Sales of Fixed Insurance products 3. NAME OF ENTITY:The Dick Melloni Youth Foundation; No; 7 PETER COOPER DR; WAREHAM; MA; 02571; Charity/Community Service; Board of Directors Member; 1/1/2009; 4; 4; board of directors-fund raising, charity events, future planning,etc

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Nicholas Petronelli JR's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 500 Faunce Corner Rd Building 100, Suite 120, Dartmouth, MA 02747Office #2: 14r Church Green, Taunton, MA 02780
RIA
CRD#: 105644
DARTMOUTH, MA
Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 500 Faunce Corner Rd Building 100, Suite 120, Dartmouth, MA 02747Office #2: 14r Church Green, Taunton, MA 02780
BD
CRD#: 13572
Dartmouth, MA
Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

March 5, 2009 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
DARTMOUTH, MA
Past

February 20, 2009 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
DARTMOUTH, MA
Past

February 20, 2007 - February 24, 2009

OSAIC SERVICES, INC.

RIA
CRD#: 133763
DARTMOUTH, MA
Past

April 19, 2006 - November 21, 2006

THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

RIA
CRD#: 107773
DARMOUTH, MA
Past

March 22, 2006 - February 24, 2009

OSAIC SERVICES, INC.

BD
CRD#: 133763
DARTMOUTH, MA
Past

January 1, 2001 - February 6, 2006

VOYA RETIREMENT ADVISORS, LLC

RIA
CRD#: 3989
QUINCY, MA
Past

September 28, 2000 - February 6, 2006

VOYA RETIREMENT ADVISORS, LLC

BD
CRD#: 3989
WINDSOR, CT
Past

May 24, 2000 - September 28, 2000

CITISTREET EQUITIES LLC

BD
CRD#: 7447
SOMERSET, NJ
Past

November 4, 1998 - May 24, 2000

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, 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
Arkansas
(3/11/2025)
RR
Connecticut
(6/9/2021)
RR
Delaware
(5/3/2024)
RR
Florida
(6/10/2021)
RR
Indiana
(6/9/2021)
RR
Kentucky
(3/17/2022)
RR
Massachusetts
(6/9/2021)
IAR
Massachusetts
(6/29/2023)
RR
New Hampshire
(6/9/2021)
RR
New York
(6/9/2021)
RR
North Carolina
(6/9/2021)
RR
Oregon
(8/27/2024)
RR
Pennsylvania
(6/9/2021)
RR
Rhode Island
(6/9/2021)
RR
South Carolina
(6/9/2021)
RR
Tennessee
(10/10/2024)
RR
Vermont
(6/9/2021)
RR
Virginia
(6/9/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/7/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/24/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/3/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/16/2006
General Securities Principal Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Dartmouth, MA 02747

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