DG
Deanna J. Gutta
DAVIE KAPLAN WEALTH CARE ADVISORS
ROCHESTER, NY 14618
Some features on this profile are disabled
CRD#: 4717019
DG
Professional summary
Deanna Jean Gutta, who also goes by Deanna Jean Hayes, Deanna Jean Lapier, is a registered financial advisor currently at DAVIE KAPLAN WEALTH CARE ADVISORS, LLC located in Rochester, New York and CETERA INVESTMENT ADVISERS LLC located in Rochester, New York.
Deanna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Deanna has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Deanna Jean Hayes | Deanna Jean Lapier
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)DAVIE KAPLAN WEALTH CARE ADVISORS LLC; Senior Financial Consultant; This is the entity thorough which I provide Avantax Wealth Management services; IR; HRS 100; HRS 100; 05/19/2025; 100 Meridian Centre Blvd, Suite 200, Rochester NY 14618; I provide investment advice as well as investment guidance 2) LAPIER AGENCY INC; CEO; Domestic business corporation used for insurance agency. The agency was sold in 2015. I was advised this was closed out. This will be closed out; NIR; HRS 0; HRS 0; 03/08/2004; 1998 Empire Blvd, Webster NY 14580; This is a corporation that was believed to be closed. Accountant advised he notified IRS in 2021 to close Corporation. 3) CENTURY CLUB OF ROCHESTER; Board member at large/ assistant treasurer; We nurture friendships, champion members' personal and professional growth; IR; HRS 2; HRS 0; 05/08/2024; 566 East Ave, Rochester NY 14610; Duties include check writing capability from the checking account, not the investment account. I have ability to deposit checks into the checking account, not the investment account. I have access to view the investment account. I have no ability to trade on the brokerage account. 3) Presentations; Presentor; Present a pre made presentation by National Council on Aging to senior communities; NIR; 1; 0; 01/01/2020; 100 Meridian Centre Blvd Rochester NY 14618; Present a pre made presentation by National Council on Aging to senior communities. The presentation is entitled: Seniors Against Scams 4) FoodLink; Investment Committee Member; FoodLink is a not for profit food bank with the mission to leverage the power of food to end hunger and build healthier communities.; IR; 1; 0; 03/07/2024; 100 Meridian Centre Blvd Rochester NY 14618; Including myself, there are currently nine members of the investment committee with equal voting rights. The committee discusses The Board Designated Fund and The Endowment Fund according to the Investment Policy Statements for these accounts. I affirm I will not offer a recommendation or advice for an financial advisor or on anything related to financial services. These are fiduciaries of the investment assets of the organization. They are responsible for: Acting with prudence and loyalty when making decisions affecting the investment portfolio. Complying with federal and stale laws, including NY Not-for-Profit Corporate Law, and NY Prudent Management of Institutional Funds Act (NYPMIDA) Developing and maintaining appropriate investment policies Evaluating and appointing any required external professionals - at a minimum every five years or as deemed necessary. 5) FoodLink ; Finance Committee Member; FoodLink is a non-for-profit food bank with the mission to leverage the power of food to end hunger and build healthier communities.; NIR; 1; 0; 03/07/2024; 100 Meridian Centre Blvd Rochester NY 14618; Including myself, there are currently eleven members of the finance committee with equal voting rights. The committee reviews financial statements (not investment statements) including balance sheet and key ratios, statement of activities, and revenue including government grants. The committee may vote on use of grant money for expansion.The finance committees specific responsibilities include: Recommending policies that maintain and improve the financial health and integrity of the organization. Reviewing and recommending a long range financial plan, annual operating budget and annual capital budget, capital expenditures and unbudgeted operating and capital expenditures, major vendors including but not limited to financial services, banking, auditing, and insurance contracts for board approval. 6) Brighton Chamber of Commerce; Board member; Providing networking events, educational resources, business to business and community promotional opportunities; NIR; 1; 0; 08/19/2025; 2604 Elmwood Avenue #204 Rochester NY 14618; Chair of Ambassador committee for the Chamber involves 2-3 hours per month, pairing ambassadors with new members.
CRS (Client Relationship Summary) - RIA
Click below to view Deanna Jean Gutta'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
August 22, 2025 - Present
DAVIE KAPLAN WEALTH CARE ADVISORS, LLC
Office #1: 100 Meridian Centre Blvd. Suite 200, Rochester, NY 14618RIA
CRD#: 140436
ROCHESTER, NY
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 100 Meridian Centre Blvd Ste 200, Rochester, NY 14618RIA
CRD#: 105644
ROCHESTER, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Meridian Centre Blvd Suite 200, Rochester, NY 14618BD
CRD#: 13572
ROCHESTER, NY
Past
May 23, 2025 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
ROCHESTER, NY
Past
May 23, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ROCHESTER, NY
Past
October 3, 2018 - May 28, 2025
BRIGHTON SECURITIES CORP.
RIA
CRD#: 3875
ROCHESTER, NY
Past
March 9, 2018 - May 28, 2025
BRIGHTON SECURITIES CORP.
BD
CRD#: 3875
ROCHESTER, NY
Past
August 23, 2017 - March 12, 2018
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
ROCHESTER, NY
Past
August 4, 2016 - March 12, 2018
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
ROCHESTER, NY
Past
March 1, 2004 - June 23, 2008
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
VICTOR, 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
Colorado(9/5/2025)
RR
District of Columbia(10/1/2025)
RR
Florida(9/5/2025)
RR
Michigan(9/5/2025)
IAR
New York(8/22/2025)
RR
New York(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Virginia(10/1/2025)
RR
Washington(10/8/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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
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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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Rochester, NY 14618TRUST BUT VERIFY
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