DS
Dominick J. Sarinelli
CETERA INVESTMENT ADVISERS LLC
MOUNT ARLINGTON, NJ 07856
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CRD#: 5409729
DS
Professional summary
Dominick John Sarinelli, who also goes by Nick Sarinelli, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mount Arlington, New Jersey and CETERA WEALTH SERVICES, LLC located in Mount Arlington, New Jersey.
Dominick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Dominick has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Sarinelli
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) THE 200 CLUB OF MORRIS COUNTY POSITION: Treasurer NATURE: The 200 Club of Morris County proudly supports Morris County Police Officers, Fire Fighters, First Aid Squad Members, and Members of the New Jersey State Police serving Morris County who die in the line of duty. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: PO Box 231, Succasunna NJ 07876, United States DESCRIPTION: Approve and pay invoices for payments to vendors as well as scholarship and death benefit recipients. Review financial statements and other accounting reports prepared by bookkeeper. 3) NISIVOCCIA WEALTH ADVISORS, LLC POSITION: REFERRING PARTNER NATURE: FINANCIAL SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/23/2015 ADDRESS: Ste 300, Mt Arlington NJ 07856, United States DESCRIPTION: referring partner 4) Wealthspring Financial Partners LLC; Owner; This is the proposed acquisition vehicle of various financial services and tax practices.� The vehicle was created so that we could operate these acquired businesses and not confuse them with the Nisivoccia LLP brand.; IR; 1; 01/01/2022; 9 Ryan Court Long Valley NJ 07853; Passive investor
CRS (Client Relationship Summary) - RIA
Click below to view Dominick John Sarinelli'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
Office #1: 200 Valley Road Suite 300, Mount Arlington, NJ 07856RIA
CRD#: 105644
MOUNT ARLINGTON, NJ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 200 Valley Road Suite 300, Mount Arlington, NJ 07856BD
CRD#: 13572
MOUNT ARLINGTON, NJ
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MOUNT ARLINGTON, NJ
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MOUNT ARLINGTON, NJ
Past
December 7, 2007 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
MOUNT ARLINGTON, NJ
Past
November 7, 2007 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
MOUNT ARLINGTON, NJ
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(9/18/2025)
RR
Arizona(9/5/2025)
RR
California(9/18/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
Illinois(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Jersey(9/5/2025)
IAR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law 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
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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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Mount Arlington, NJ 07856TRUST BUT VERIFY
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