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Yocasta Y Carozza

Yocasta Y. Carozza

CETERA INVESTMENT ADVISERS LLC | Financial Consultant I
HOOKSETT, NH 03106
Some features on this profile are disabled
CRD#: 5467637
Yocasta Y Carozza

Professional summary

Yocasta Y Carozza, who also goes by Yocasta Yesenia Carozza, Yocasta Y Carozza, Yocasta Y Rosario, Yocasta Yesenia Rosario, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hooksett, New Hampshire and CETERA INVESTMENT SERVICES LLC located in Hooksett, New Hampshire.

Yocasta is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Yocasta has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.

Biography

As a Financial Consultant with over 12 years in the financial industry, I enjoy building relationships with my clients and getting to know them on a personal level. We partner to create a plan and accomplish their saving to investing to retirement goals. I strive to build a strong relationships with my clients and their families and work hard to maintain a deep level of trust, reliability, and competency.
top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Yocasta Yesenia Carozza | Yocasta Y Carozza | Yocasta Y Rosario | Yocasta Yesenia Rosario

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.
VP AND CO-OWNER OF CAROZZA EYE CARE, INC; FAMILY BUSINESS; NO RESPONSIBILITIES OR DUTIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yocasta Y Carozza's CRS (Customer Relationship Summary).
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®
None

Education

Norwich University

Master of Science (MS) - Information Security & Assurance

2019

Southern New Hampshire University

Bachelor of Science (BS) - Business Finance

2013

Experience

Current

July 2, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1289 Hooksett Road, Hooksett, NH 03106
RIA
CRD#: 105644
HOOKSETT, NH
Current

July 2, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1289 Hooksett Road, Hooksett, NH 03106
BD
CRD#: 15340
HOOKSETT, NH
Past

March 31, 2025 - July 15, 2025

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
BURLINGTON, MA
Past

March 11, 2021 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
BURLINGTON, MA
Past

February 26, 2021 - July 15, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BURLINGTON, MA
Past

July 13, 2018 - July 15, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
BOSTON, MA
Past

January 19, 2009 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
MERRIMACK, NH
Past

March 7, 2008 - July 12, 2019

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH

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
New Hampshire
(7/2/2025)
IAR
New Hampshire
(7/2/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/16/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/13/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/6/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/17/2010
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/29/2010
General Securities Sales Supervisor - General Module Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

Financial Consultant ICRD#: 105644Hooksett, NH 03106

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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