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ER

Eric D. Rotolo

CETERA INVESTMENT ADVISERS
NEWBURY, OH 44065
CRD#: 4144771
Some features on this profile are disabled
ER
Eric Douglas RotoloCETERA INVESTMENT ADVISERS

Professional summary

Eric Douglas Rotolo, who also goes by Ric Rotolo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newbury, Ohio and CETERA INVESTMENT SERVICES LLC located in Newbury, Ohio.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Eric has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ric Rotolo

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Douglas Rotolo's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 1, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 11110 Kinsman Rd, Newbury, OH 44065
RIA
CRD#: 105644
NEWBURY, OH
Current

June 1, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 11110 Kinsman Rd, Newbury, OH 44065
BD
CRD#: 15340
NEWBURY, OH
Past

August 8, 2018 - June 12, 2026

LPL FINANCIAL LLC

RIA
CRD#: 6413
BEACHWOOD, OH
Past

August 8, 2018 - June 12, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
BEACHWOOD, OH
Past

November 15, 2017 - August 9, 2018

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
UNIONTOWN, OH
Past

August 3, 2017 - August 9, 2018

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
UNIONTOWN, OH
Past

February 1, 2017 - July 25, 2017

THE HUNTINGTON INVESTMENT COMPANY

RIA
CRD#: 16986
AKRON, OH
Past

February 1, 2017 - July 25, 2017

THE HUNTINGTON INVESTMENT COMPANY

BD
CRD#: 16986
AKRON, OH
Past

July 3, 2012 - February 1, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
CUYAHOGA FALLS, OH
Past

July 3, 2012 - February 1, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
CUYAHOGA FALLS, OH
Past

January 20, 2010 - July 3, 2012

FIRSTMERIT ADVISORS, INC.

RIA
CRD#: 125249
AKRON, OH
Past

January 14, 2010 - July 3, 2012

FIRSTMERIT FINANCIAL SERVICES, INC

BD
CRD#: 149680
BRUNSWICK, OH
Past

January 24, 2007 - January 22, 2010

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
BRUNSWICK, OH
Past

July 1, 2005 - January 14, 2010

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
BRUNSWICK, OH
Past

April 11, 2000 - July 1, 2005

FIRSTMERIT SECURITIES, INC.

BD
CRD#: 35057
AKRON, OH

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
(6/2/2026)
RR
Ohio
(6/1/2026)
IAR
Ohio
(6/1/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/22/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/10/2000
General Securities Representative Examination
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)
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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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Newbury, OH 44065

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