AT
Adam J. Tarantino
CETERA INVESTMENT ADVISERS LLC
MECHANICSBURG, PA 17055
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CRD#: 5214006
AT
Professional summary
Adam Jason Tarantino, AIF®, who also goes by Adam Tarantino, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mechanicsburg, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Albuquerque, New Mexico.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Adam has worked at 3 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam Tarantino
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: BAR FINANCIAL, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 12/03/2010; POSITION/TITLE/RELATIONSHIP: SALES MANAGER/COMPLIANCE OFFICER; APX NUMBER OF HOURS PER WEEK: 40 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS/COMPLIANCE OFFICER; 2. NAME OF OTHER BUSINESS: CUMBERLAND VALLEY UMPIRES ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: RECREATIONAL BASEBALL; START DATE: 2/2024; POSITION/TITLE/RELATIONSHIP: UMPIRE; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: UMPIRE BASEBALL GAMES; 3. NAME OF OTHER BUSINESS: PIAA BASEBALL OFFICIAL; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: SCHOLASTIC BASEBALL; START DATE: 2/2024; POSITION/TITLE/RELATIONSHIP: UMPIRE/OFFICIAL; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: UMPIRE VARIOUS GAMES WITHIN THE MID PENN CONFERENCE OF THE PIAA;
CRS (Client Relationship Summary) - RIA
Click below to view Adam Jason Tarantino'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®
Experience
Current
October 9, 2017 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5 Kacey Ct Suite 101, Mechanicsburg, PA 17055RIA
CRD#: 105644
MECHANICSBURG, PA
Current
June 14, 2007 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7770 Jefferson St Ne Suite 405, Albuquerque, NM 87109Office #2: 5 Kacey Ct Ste 101, Mechanicsburg, PA 17055Office #3: 24500 Center Ridge Rd Ste 310, Westlake, OH 44145Office #4: 5 Kacey Ct Ste 101, Mechanicsburg, PA 17055BD
CRD#: 13572
Albuquerque, NM
Current
September 8, 2016 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1127 Eichelberger Street, Hanover, PA 17331Office #2: 5 Kacey Ct; Suite 101, Mechanicsburg, PA 17055Office #3: 675 Old Harrisburg Road, Gettysburg, PA 17325Office #4: 201 Pauline Drive, York, PA 17402Office #5: 200 Commerce Drive, Walkersville, MD 21793BD
CRD#: 15340
Hanover, PA
Past
September 8, 2016 - October 26, 2016
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MECHANICSBURG, PA
Past
October 25, 2011 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WESTLAKE, OH
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
Alabama(2/8/2019)
RR
Arizona(3/9/2011)
RR
California(1/2/2014)
RR
Colorado(4/21/2015)
RR
Connecticut(12/19/2023)
RR
Florida(5/11/2011)
RR
Georgia(2/5/2024)
RR
Hawaii(10/16/2025)
RR
Illinois(1/5/2022)
RR
Indiana(12/19/2023)
RR
Iowa(12/19/2023)
RR
Kentucky(12/19/2023)
RR
Maine(12/20/2023)
RR
Maryland(5/11/2011)
RR
Massachusetts(12/19/2023)
RR
Michigan(12/20/2023)
RR
Minnesota(10/16/2025)
RR
Mississippi(12/20/2023)
RR
Missouri(5/11/2011)
RR
Montana(5/14/2024)
RR
Nebraska(12/19/2023)
RR
Nevada(6/22/2021)
RR
New Hampshire(5/28/2021)
RR
New Jersey(5/11/2011)
RR
New Mexico(3/11/2011)
IAR
New Mexico(6/29/2023)
RR
New York(5/11/2011)
RR
North Carolina(12/19/2023)
RR
Ohio(5/12/2015)
IAR
Ohio(6/29/2023)
RR
Pennsylvania(8/10/2007)
IAR
Pennsylvania(10/9/2017)
RR
Rhode Island(5/14/2024)
RR
South Carolina(10/16/2025)
RR
South Dakota(5/11/2011)
RR
Tennessee(1/6/2020)
RR
Texas(3/9/2011)
IAR
Texas(6/29/2023)
RR
Virginia(5/11/2011)
RR
Washington(4/30/2015)
RR
Wisconsin(4/9/2021)
RR
Wyoming(1/3/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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.
