MS
Mario Saggese
CETERA INVESTMENT ADVISERS LLC
BROOKLYN, NY
Some features on this profile are disabled
CRD#: 4594317
MS
Professional summary
Mario Saggese is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brooklyn, New York and CETERA WEALTH SERVICES, LLC located in Brooklyn, New York.
Mario is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Mario 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) Mario Saggese~1350 Broadway, Suite 705~New York~NY~10018~Independent Insurance Agent~Insurance Sales Agent~6/1/2003~3hrs~3hrs~sale of insurance products 2) Italy legal online~1350 broadway #705~new york~NY~10018~Legal~Tax Preparation/Accounting~8/17/2017~3hrs~0hrs~preparation of financials, business development 3) 115 117 south elliott pl llc~1350 broadway #705l~new york~NY~10018~Rental Property Owner/Management~Department Manager~8/17/2017~5hrs~5hrs~manage real estate 4) Vistarra holdings~230 kings highway east suite 267~haddonfield~NJ~08033~Real Estate~Other~7/20/2015~2hrs~2hrs~minority owner of shares 5) GAF Financial Group Accounting & Ta~1350 broadway~new york~NY~10018~Tax Preparation/Accounting~Partner/General Partner~1/1/2005~160hrs~130hrs~partner in accounting and tax practice 6) Rythmedix llc~5000 atrium way suite 1~mount laurel~NJ~08054~Health Care~Other~7/20/2015~1hrs~1hrs~minority member 7) 160-189 NORTH ST LLC POSITION: member NATURE: LLC owns real property and will purchase additional properties in the future INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/07/2022 ADDRESS: 533 metropolitan ave, brooklyn NY 11211, United States DESCRIPTION: I am the member that analyzes potential purchases and i share in the equity and income of the llc 8) MARIO SAGGESE PROPERTY AND CASUALTY AGENT POSITION: property and casualty insurance agent NATURE: providing quotes on property and casualty insurance for businesses and individuals INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/01/2023 ADDRESS: 533 metropolitan ave, brooklyn NY 11211, United States DESCRIPTION: providing quotes and binding property and casualty insurance policies for businesses and individuals 9) ASSOCIAZIONE SACCHESI D'AMERICA POSITION: president NATURE: 501c3 organization- cultural and charitable organization that runs communty events and assists community residents. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2024 ADDRESS: 1224 149 st, whitestone NY 11358, United States DESCRIPTION: i am in charge of recruiting members, running meetings, creating events, and future planning for the assistance of the community. 10) LIC FINANCIAL GROUP POSITION: owner NATURE: advisory services and brokerage services, alternative investments .This is the dba I use for my wealth management business. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 01/01/2025 ADDRESS: 533 metropolitan ave, brooklyn NY 11211, United States DESCRIPTION: open accounts and monitor them for clients. serve client needs by recommending new investments or additional investments with accounts already established.
CRS (Client Relationship Summary) - RIA
Click below to view Mario Saggese'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
RIA
CRD#: 105644
BROOKLYN, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 533 Metropolitan Ave., Brooklyn, NY 11211BD
CRD#: 13572
Brooklyn, NY
Past
September 4, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Brooklyn, NY
Past
October 22, 2002 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Brooklyn, 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
California(9/5/2025)
RR
Florida(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/25/2019
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
