BA
Brad M. Arnone
CETERA INVESTMENT ADVISERS LLC
BUFFALO, NY 14220
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CRD#: 6316687
BA
Professional summary
Brad M Arnone is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Buffalo, New York and CETERA WEALTH SERVICES, LLC located in Buffalo, New York.
Brad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Brad has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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: 3/2015 APX NUMBER OF HOURS PER WEEK: 36 APX NUMBER OF HOURS DURING TRADING HOURS: 36 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE (2) NAME OF OTHER BUSINESS: DBA FOR C. JOHN CRANE INC., INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE SALES START DATE: 7/2011, POSITION/TITLE/RELATIONSHIP: SALES AGENT APX NUMBER OF HOURS PER WEEK: 39 APX NUMBER OF HOURS DURING TRADING HOURS: 39 BRIEF DESCRIPTION OF DUTIES: CROSS SELLING OF CLIENTS MICHAEL MCDONALD (3) NAME OF OTHER BUSINESS: CRANE CAPITAL GROUP, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 07/2018 POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE/OWNER APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES (4) NAME OF OTHER BUSINESS: CRANE CAPITAL GROUP INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES START DATE: 08/2018; POSITION/TITLE/RELATIONSHIP: CO-OWNER / REPRESENTATIVE ; APX NUMBER OF HOURS PER WEEK: 20 ; APX NUMBER OF HOURS DURING TRADING HOURS: 20 ; BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR MARKETING AND HOLDING COMMISSIONS ; (5) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ; ADDRESS: 6184 ROUTE 219 S, ELLICOTTVILLE, NY 14731 ; NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 12/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5 ; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY IN SKI TOWN, SO RENTED ON A PER NIGHT BASIS ; (6) NAME OF OTHER BUSINESS: CENTRO CULTURALE ITALIANO DI BUFFALO; INVESTMENT RELATED: NO; ADDRESS: 2351 DELAWARE AVENUE BUFFALO, NY 14216; NATURE OF BUSINESS: ITALIAN CULTURAL CENTER; START DATE: 01/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2-5; APX NUMBER OF HOURS DURING TRADING HOURS: 2-5; BRIEF DESCRIPTION OF DUTIES: FUNDRAISING, FOOD AND BEVERAGE COMMITTEE;
CRS (Client Relationship Summary) - RIA
Click below to view Brad M Arnone'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 670 Abbott Rd, Buffalo, NY 14220RIA
CRD#: 105644
BUFFALO, NY
Current
August 27, 2015 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 670 Abbott Rd, Buffalo, NY 14220BD
CRD#: 13572
Buffalo, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BUFFALO, 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
Arizona(7/19/2024)
RR
California(3/20/2017)
RR
Florida(9/27/2017)
RR
Maryland(5/3/2021)
RR
Michigan(2/19/2020)
RR
New York(11/25/2015)
IAR
New York(6/29/2023)
RR
North Carolina(1/22/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/6/2021
General Securities Representative ExaminationGeneral 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#: 105644Buffalo, NY 14220TRUST BUT VERIFY
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