AP
Alissa Provanzana
CETERA INVESTMENT ADVISERS LLC
Wallkill, NY
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CRD#: 5785617
AP
Professional summary
Alissa Provanzana, who also goes by Alissa Saunders, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wallkill, New York and CETERA WEALTH SERVICES, LLC located in Wallkill, New York.
Alissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Alissa has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alissa Saunders
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: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 03/2024; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: WALLKILL YOUTH LACROSSE; INVESTMENT RELATED: NO; ADDRESS: WALLKILL, NY 12589; NATURE OF BUSINESS: YOUTH LACROSSE; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PROVIDE A HIGH-QUALITY EXPERIENCE TO EVERY ATHLETE BY ARRANGING AND ORCHESTRATING SEASONAL CLINICS, IN SEASON PRACTICE/GAMES AND FUNDRAISING ACTIVITIES TO ENHANCE OUR ATHLETES EXPERIENCE; 3. NAME OF OTHER BUSINESS: INSPIRE FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 100 EGBERTSON ROAD, 2ND FL, CAMPBELL HALL, NY 10916; NATURE OF BUSINESS: INDIVIDUALS WITH DISABILITIES; START DATE: 07/2018; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: TO ASSIST IN RAISING FUNDS FOR THE BENEFIT OF INDIVIDUALS WITH DISABILITIES; 4. NAME OF OTHER BUSINESS: VALLEY WEALTH ADVISORS LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SECURITIES-RELATED DBA; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: OWNER & FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR;
CRS (Client Relationship Summary) - RIA
Click below to view Alissa Provanzana'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
July 17, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Wallkill, NY
Current
July 17, 2024 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Wallkill, NY
Past
August 1, 2017 - July 17, 2024
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
Montgomery, NY
Past
August 1, 2017 - July 17, 2024
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
Montgomery, NY
Past
April 20, 2016 - July 27, 2017
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MONTGOMERY, NY
Past
June 5, 2013 - July 27, 2017
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
MONTGOMERY, NY
Past
July 19, 2010 - June 7, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, 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
Alabama(1/15/2025)
RR
Florida(7/17/2024)
RR
Georgia(9/30/2024)
RR
Massachusetts(7/17/2024)
RR
New Jersey(7/17/2024)
RR
New York(7/17/2024)
IAR
New York(7/17/2024)
RR
Pennsylvania(7/17/2024)
Exams
State Security Law Exam
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
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
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.
