AR
Anthony C. Rosso
CETERA INVESTMENT ADVISERS LLC
Shrewsbury, NJ 07702
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CRD#: 4255488
AR
Professional summary
Anthony Charles Rosso is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Shrewsbury, New Jersey and CETERA WEALTH SERVICES, LLC located in Shrewsbury, New Jersey.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Anthony has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 09/2006 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: ASPARGO LABORATORIES INVESTMENT RELATED: NO ADDRESS: 550 SYLVAN AVE SUITE 102 ENGLEWOOD CLIFFS NJ NATURE OF BUSINESS: DRUG MANUFACTURER AND DISTRIBUTOR START DATE: 09/2021 POSITION/TITLE/RELATIONSHIP: CONSULTANT APX NUMBER OF HOURS PER WEEK: 12 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ASSIST CEO ON COMMUNICATING SIGNIFICANT CORPORATE EVENTS. 3. NAME OF OTHER BUSINESS: SBG INSURANCE/AIMCORP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TO PROVIDE INSURANCE PRODUCTS START DATE: 12/2019 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR, APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PROVIDE INSURANCE SOLUTIONS TO MY CLIENTS 4. NAME OF OTHER BUSINESS: ROSSO FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2015 POSITION/TITLE/RELATIONSHIP: CEO AND PRINCIPLE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: ADVISOR,BROKER AND OFFICE MANAGER
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Charles Rosso'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
February 2, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1151 Broad Street Suite 305, Shrewsbury, NJ 07702RIA
CRD#: 105644
Shrewsbury, NJ
Current
February 1, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1151 Broad Street Suite 305, Shrewsbury, NJ 07702BD
CRD#: 13572
Shrewsbury, NJ
Past
September 29, 2021 - February 2, 2024
NFSG CORPORATION
RIA
CRD#: 130814
SEA GIRT, NJ
Past
September 29, 2021 - February 2, 2024
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
SEA GIRT, NJ
Past
January 28, 2021 - October 8, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
SEA GIRT, NJ
Past
January 27, 2021 - October 8, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
SEA GIRT, NJ
Past
September 23, 2008 - March 2, 2021
REGAL ADVISORY SERVICES, INC.
RIA
CRD#: 123842
Sea Girt, NJ
Past
January 2, 2008 - March 2, 2021
REGAL SECURITIES, INC.
BD
CRD#: 7297
Sea Girt, NJ
Past
July 16, 2004 - December 19, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW YORK, NY
Past
November 17, 2000 - July 21, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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(5/17/2024)
RR
California(6/27/2025)
RR
Connecticut(2/1/2024)
RR
Florida(2/2/2024)
RR
Maryland(5/17/2024)
RR
Massachusetts(2/12/2024)
IAR
New Jersey(2/2/2024)
RR
New Jersey(2/5/2024)
RR
New York(2/7/2024)
RR
North Carolina(2/6/2024)
RR
Pennsylvania(2/2/2024)
RR
South Carolina(5/17/2024)
RR
Texas(6/20/2025)
IAR
Texas(6/20/2025)
RR
Virginia(5/17/2024)
Exams
State Security Law Exam
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
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#: 105644Shrewsbury, NJ 07702TRUST BUT VERIFY
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