CM
Charles E. Marchese
CETERA INVESTMENT ADVISERS LLC
RONKONKOMA, NY 11779
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CRD#: 3270400
CM
Professional summary
Charles Edmond Marchese, who also goes by Charles Edmund Marchese, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ronkonkoma, New York and CETERA FINANCIAL SPECIALISTS LLC located in Ronkonkoma, New York.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Charles has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles Edmund Marchese
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) CHARLES E. MARCHESE CPA, ACCTG & TAX PRAC-OWNER SINCE 1/1/98-MANAGE & PRACTICE ACCTG-40HR/WK; 2) SELLS HEALTH INSURANCE, SINCE 07/2007, 1H/WK: 3) CHARLES E. MARCHESE WEALTH MANAGEMENT; INV-RELATED; RONKONKOMA, NY; FINANCIAL SERVICES; OWNER; SINCE 09/2012; 60 HRS/MONTH DURING SECURITIES TRADING HOURS: 4) L&C LLC; NOT INVESTMENT RELATED; ADDRESS IS THE HOME LOCATION; RENTAL PROPERTY; START 6/2015; 0 HOURS/WEEK; OWNER WITH WIFE OF RENTAL CONDOMINIUM 5) NAME OF OTHER BUSINESS: CEM PAYROLL SERVICES INC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PAYROLL SERVICES START DATE: 11/2017 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF TRADING HOURS PER WEEK: 2 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: CALCULATION & FILING OF PAYROLL CHECKS FOR EMPLOYERS; 6) NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: 9660 VICTORIA LANE #305, JENSEN BEACH, FL 34957; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 9/2009; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY HELD IN REVOCABLE TRUST;
CRS (Client Relationship Summary) - RIA
Click below to view Charles Edmond Marchese'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
April 12, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 445 Hawkins Ave Suite 4, Ronkonkoma, NY 11779RIA
CRD#: 105644
RONKONKOMA, NY
Current
October 19, 1999 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 445 Hawkins Ave Suite 4, Ronkonkoma, NY 11779BD
CRD#: 10358
Ronkonkoma, 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
Florida(9/25/2009)
RR
New York(10/19/1999)
IAR
New York(4/12/2021)
RR
North Carolina(2/20/2019)
Exams
State Security Law 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Ronkonkoma, NY 11779TRUST BUT VERIFY
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