SM
Samuel A. Mangiapane
CETERA INVESTMENT ADVISERS LLC
Eatontown, NJ 07724
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CRD#: 6127711
SM
Professional summary
Samuel Alfonso Mangiapane III, who also goes by Samuel Alfonso Mangiapane, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Eatontown, New Jersey and CETERA ADVISORS LLC located in Eatontown, New Jersey.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Samuel has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Samuel Alfonso Mangiapane
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: MINT FINANCIAL SERVICES LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2020, POSITION/TITLE/RELATIONSHIP: OWNER/MANAGING PRINCIPAL, APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 7, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: POWER WASHING, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: POWER WASHING, START DATE: 01/2017, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 10, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SALES; 3. NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO, ADDRESS: 222 HIERING AVE, SEASIDE HEIGHTS, NJ, 08751, NATURE OF BUSINESS: REAL ESTATE, START DATE: 06/2019, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SEASONAL RENTAL PROPERTY;
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Alfonso Mangiapane III'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 442 Highway 35 South Bldg A 1st Floor, Eatontown, NJ 07724RIA
CRD#: 105644
Eatontown, NJ
Current
June 30, 2022 - Present
CETERA ADVISORS LLC
Office #1: 442 Highway 35 South Bldg A 1st Floor, Eatontown, NJ 07724BD
CRD#: 10299
Eatontown, NJ
Past
July 5, 2022 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
Eatontown, NJ
Past
May 13, 2020 - July 6, 2022
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
RED BANK, NJ
Past
May 1, 2020 - July 6, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
RED BANK, NJ
Past
January 23, 2013 - April 6, 2020
MORGAN STANLEY
RIA
CRD#: 149777
TOMS RIVER, NJ
Past
December 17, 2012 - April 6, 2020
MORGAN STANLEY
BD
CRD#: 149777
TOMS RIVER, 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
California(11/19/2024)
RR
Florida(7/1/2022)
RR
Illinois(9/26/2025)
RR
Maryland(7/5/2022)
RR
New Jersey(7/1/2022)
IAR
New Jersey(3/21/2024)
RR
New York(7/29/2022)
RR
Ohio(7/11/2022)
RR
Pennsylvania(7/7/2022)
RR
South Carolina(7/9/2025)
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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Eatontown, NJ 07724TRUST BUT VERIFY
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