JM
John R. Monaco
CETERA INVESTMENT ADVISERS LLC
PATTERSON, NY 12563-5907
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CRD#: 4120419
JM
Professional summary
John Robert Monaco is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Patterson, New York and CETERA WEALTH SERVICES, LLC located in Patterson, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. John has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 6 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) John R. Monaco, CPA, PC~16 Mt. Ebo Rd S Ste 14~Brewster~NY~10509~Accounting/Bookkeeping (No Tax Preparation)~President~9/1/2009~400hrs~8hrs~Trusted Advisor using the 8 Wealth Management Tools. 2) JOHN MONACO POSITION: Sales Broker NATURE: Appointed as a health insurance sales rep for MVP Health Care. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2019 ADDRESS: 2190 Rt 22, Patterson NY 12563-5907, United States DESCRIPTION: Sales of health insurance. Currently for my own account 3)JOHN R. MONACO & COMPANY POSITION: Owner NATURE: This is a DBA merging my accounting/tax practice and my investment services business for advertising purposes only INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2018 ADDRESS: 2190 Rt 22, Patterson NY 12563-5907, United States DESCRIPTION: This dba is just for advertising purposes. No official business conducted.
CRS (Client Relationship Summary) - RIA
Click below to view John Robert Monaco'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: 2190 Rt. 22, Patterson, NY 12563-5907RIA
CRD#: 105644
PATTERSON, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2190 Rt 22, Patterson, NY 12563-5907BD
CRD#: 13572
Patterson, NY
Past
August 9, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Patterson, NY
Past
February 7, 2000 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Patterson, 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(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Kansas(9/5/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/18/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/18/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/16/2023
General Securities Representative ExaminationGeneral 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
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.
