RC
Roderick M. Carolan
CETERA INVESTMENT ADVISERS LLC
JERSEY CITY, NJ 07302
Some features on this profile are disabled
CRD#: 3237252
RC
Professional summary
Roderick M Carolan, CFP®, who also goes by Rod Carolan, Roderick Murphy Carolan, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jersey City, New Jersey and CETERA WEALTH SERVICES, LLC located in Jersey City, New Jersey.
Roderick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Roderick has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rod Carolan | Roderick Murphy Carolan
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.
ALLIED WEALTH PARTNERS POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2014 ADDRESS: , Jersey City NJ , United States DESCRIPTION: Agent/Broker FINANCIAL FOCUS GROUP LLC POSITION: Partner NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/01/2014 ADDRESS: , Jersey City NJ , United States DESCRIPTION: Partner
CRS (Client Relationship Summary) - RIA
Click below to view Roderick M Carolan'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®
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 95 Christopher Columbus Dr Fl 13, Jersey City, NJ 07302Office #2: 897 East Broad Street, Westfield, NJ 07090RIA
CRD#: 105644
JERSEY CITY, NJ
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 95 Christopher Columbus Drive Floor 13, Jersey City, NJ 07302BD
CRD#: 13572
Jersey City, NJ
Past
January 12, 2015 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Jersey City, NJ
Past
January 23, 2014 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Jersey City, NJ
Past
June 21, 2002 - January 24, 2014
NEW ENGLAND SECURITIES
RIA
CRD#: 615
NEW YORK, NY
Past
July 1, 1999 - January 24, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Connecticut(8/10/2023)
RR
Delaware(8/10/2023)
RR
District of Columbia(8/10/2023)
RR
Florida(8/11/2023)
RR
Georgia(3/24/2025)
RR
Illinois(8/10/2023)
RR
Kentucky(2/16/2024)
RR
Maryland(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
Michigan(8/10/2023)
RR
Nevada(8/10/2023)
RR
New Hampshire(8/10/2023)
RR
New Jersey(8/10/2023)
IAR
New Jersey(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
Ohio(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Carolina(8/10/2023)
RR
Texas(6/11/2024)
IAR
Texas(6/11/2024)
RR
Virginia(8/10/2023)
Exams
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
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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.
