Emil S. Rufolo

AVANTAX PLANNING PARTNERS

PARSIPPANY, NJ 07054

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CRD#: 4415272

Professional summary

Emil Silvester Rufolo is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Parsippany, New Jersey and CETERA INVESTMENT ADVISERS LLC located in Parsippany, New Jersey.

Emil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Emil has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emil Silvester Rufolo'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

July 6, 2022 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #1: 600 Parsippany Rd. Suite 206, Parsippany, NJ 07054

RIA

CRD#: 106237

PARSIPPANY, NJ

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 600 Parsippany Rd. Suite 206, Parsippany, NJ 07054

RIA

CRD#: 105644

PARSIPPANY, NJ

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 600 Parsippany Rd Suite 206, Parsippany, NJ 07054

CRD#: 13572

PARSIPPANY, NJ

Past

October 25, 2019 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

PARSIPPANY, NJ

Past

October 25, 2019 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

PARSIPPANY, NJ

Past

January 11, 2017 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

Summit, NJ

Past

October 24, 2002 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

Summit, NJ

Past

October 11, 2001 - November 19, 2002

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

California
(9/5/2025)

Florida
(9/5/2025)

IAR

New Jersey
(7/6/2022)

New Jersey
(9/5/2025)

New York
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/14/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/10/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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 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	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.

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Firm Stability Insights

Emil S. Rufolo

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emil Silvester Rufolo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

CETERA FINANCIAL SPECIALISTS LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/14/2001

SIE

Date: 10/1/2018

Series 7

Date: 12/20/2004

Series 6

Date: 10/10/2001

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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