GC
Glenn A. Capalbo
CETERA INVESTMENT ADVISERS LLC
WEST WARWICK, RI 02893
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CRD#: 4084202
GC
Professional summary
Glenn Alexander Capalbo is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Warwick, Rhode Island and CETERA WEALTH SERVICES, LLC located in West Warwick, Rhode Island.
Glenn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Glenn has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 6 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.
1) EAGLE FINANCIAL SERVICES, LLC POSITION: Tax Preparation/Accounting NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/2000 ADDRESS: 211 Quaker Lane Suite 101, Suite 101, West Warwick RI 02893, United States DESCRIPTION: Prepare & Review Tax Returns. 2) GLENN A. CAPALBO, CPA POSITION: Owner/Sole Proprietor NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 85 SECURITIES TRADING HOURS: 15 START DATE: 01/01/1990 ADDRESS: 211 Quaker Lane Suite 101, West Warwick RI 02893, United States DESCRIPTION: Prepare tax returns.
CRS (Client Relationship Summary) - RIA
Click below to view Glenn Alexander Capalbo'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 211 Quaker Lane Suite 101, West Warwick, RI 02893RIA
CRD#: 105644
WEST WARWICK, RI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 211 Quaker Lane Suite 101, West Warwick, RI 02893BD
CRD#: 13572
West Warwick, RI
Past
April 25, 2000 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
West Warwick, RI
Past
January 7, 2000 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
West Warwick, RI
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(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Mississippi(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New York(9/5/2025)
RR
Rhode Island(9/5/2025)
IAR
Rhode Island(9/5/2025)
Exams
State Security Law Exam
General Industry/Product 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644West Warwick, RI 02893TRUST BUT VERIFY
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