DM
Dolores Monte
CETERA INVESTMENT ADVISERS LLC
Pompano Beach, FL 33062
Some features on this profile are disabled
CRD#: 338285
DM
Professional summary
Dolores Monte, who also goes by Dolores Montalto, Dolores Montaltomonte, Dolores Montalto Montemarano, Dolores Montemarano, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pompano Beach, Florida and CETERA WEALTH SERVICES, LLC located in Brooklyn, New York.
Dolores is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Dolores has worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dolores Montalto | Dolores Montaltomonte | Dolores Montalto Montemarano | Dolores Montemarano
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) MONTE REALTY; INVESTMENT RELATED; 512 55 ST BROOKLYN, NY 11220; REAL ESTATE: MANAGE MESSAGES AND SALES AGENTS FOR LISTED PROPERTIES; MANAGER; 07/01/1991; APPX 1 HR/MONTH; APPX 0 HRS/MONTH DURING TRADING; DM FINANCIAL IS LOCATED IN THE SAME SPACE AS MONTE REALTY. I MANAGE MESSAGES AND ADVERTISING OF LISTED PROPERTIES. THE OFFICE IS OWNED BY ME AND MY BROTHER,WHO IS AN ATTORNEY AND REAL ESTATE BROKER. (2) NAME OF OTHER BUSINESS: DM FINANCIAL SERVICES INC. DOLORES MONTE, E.A.; INVESTMENT RELATED: NO; ADDRESS: 7901 5TH AVENUE BROOKLYN, NY 11209; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: OWNER/ENROLLED AGENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: OFFER TAX PLANNING, PREPARATION AND REPRESENTATION; (3) THE VITO CALECA TRUST; INVESTMENT RELATED; THE CALECA TRUST HAS A TRANSACTIONAL BROKERAGE ACCOUNT; TRUSTEE; 12/25/1997; APPX 5 HRS/MONTH; APPX 1/2 HRS/MONTH DURING TRADING; I AM THE TRUSTEE ON THE VITO CALECA TRUST AND CURRENT MANAGE THE ACCOUNT WITH AN APPX VALUE OF $150K. I ALSO FILE ALL TAX RETURNS FOR THE TRUST.
CRS (Client Relationship Summary) - RIA
Click below to view Dolores Monte'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 1, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1010 South Ocean Blvd Apt 1705, Pompano Beach, FL 33062Office #2: 8804 Fourth Ave, Brooklyn, NY 11209RIA
CRD#: 105644
Pompano Beach, FL
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8804 Fourth Ave, Brooklyn, NY 11209BD
CRD#: 13572
Brooklyn, NY
Past
August 10, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 24, 2019 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BROOKLYN, NY
Past
September 30, 2016 - June 25, 2019
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
Brooklyn, NY
Past
May 10, 2013 - October 27, 2016
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
BROOKLYN, NY
Past
April 13, 2007 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
BD
CRD#: 142170
BROOKLYN, NY
Past
June 24, 2002 - April 16, 2007
GIRARD SECURITIES, INC.
BD
CRD#: 18697
BROOKLYN, NY
Past
September 4, 1997 - June 24, 2002
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
June 29, 1994 - September 19, 1997
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
April 14, 1993 - August 26, 1994
WALL STREET MANAGEMENT CORPORATION
BD
CRD#: 7186
NEW YORK, NY
Past
January 31, 1980 - March 9, 1992
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 10, 1974 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
BD
CRD#: 6361
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(4/20/2022)
RR
California(9/20/2019)
RR
Delaware(9/20/2019)
RR
Florida(9/21/2019)
IAR
Florida(6/1/2023)
RR
New Jersey(9/20/2019)
RR
New York(9/20/2019)
IAR
New York(6/29/2023)
RR
Pennsylvania(9/20/2019)
RR
Texas(11/13/2024)
IAR
Texas(11/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 7/28/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 4/8/1974
Registered Representative ExaminationPrincipal/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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Pompano Beach, FL 33062TRUST BUT VERIFY
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