Patrick S. Di Fazio
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patrick Salvatore Di Fazio, who also goes by Patrick Salvatore Di Fazio, Patrick Stephen Di Fazio, Patrick Stephen Difazio, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2003. Patrick had worked at 14 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2025 - November 3, 2025
CETERA INVESTMENT ADVISERS LLC
April 3, 2025 - November 3, 2025
CETERA WEALTH SERVICES, LLC
April 3, 2025 - November 3, 2025
CETERA INVESTMENT SERVICES LLC
April 3, 2025 - November 3, 2025
CETERA FINANCIAL SPECIALISTS LLC
April 3, 2025 - November 3, 2025
CETERA ADVISORS LLC
March 23, 2021 - November 3, 2025
AVANTAX PLANNING PARTNERS, INC.
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
July 9, 2012 - October 25, 2019
1ST GLOBAL ADVISORS INC
August 24, 2010 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
June 9, 2009 - August 19, 2010
FROST BROKERAGE SERVICES, INC.
December 19, 2007 - June 2, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 19, 2007 - June 2, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 5, 2007 - December 18, 2007
EQUITABLE ADVISORS, LLC
February 5, 2007 - December 18, 2007
EQUITABLE ADVISORS, LLC
January 29, 2003 - September 11, 2003
FARMERS FINANCIAL SOLUTIONS, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
