John E. Cerilli

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CRD#: 6465341

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Edward Cerilli, who also goes by John Cerilli, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2016. John had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Cerilli

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Experience

Past

March 21, 2024 - November 11, 2025

DIVERSIFIED RESOURCES, LLC

RIA

CRD#: 31346

WARWICK, RI

Past

March 21, 2024 - November 11, 2025

DIVERSIFIED RESOURCES, LLC

CRD#: 31346

WARWICK, RI

Past

July 21, 2021 - March 15, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

WEST WARWICK, RI

Past

July 21, 2021 - March 15, 2024

LPL FINANCIAL LLC

CRD#: 6413

WEST WARWICK, RI

Past

September 20, 2019 - July 21, 2021

WADDELL & REED

RIA

CRD#: 866

WEST WARWICK, RI

Past

September 20, 2019 - July 21, 2021

WADDELL & REED

CRD#: 866

WEST WARWICK, RI

Past

September 24, 2018 - September 23, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PROVIDENCE, RI

Past

August 16, 2018 - September 23, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PROVIDENCE, RI

Past

February 17, 2016 - March 16, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BRAINTREE, MA

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".

DIVERSIFIED RESOURCES, LLC

DIVERSIFIED RESOURCES | WRIGHT, GEORGE EDWARD | DIVERSIFIED RESOURCES, LLC

CRD#: 31346 / SEC#: 801-108432, 8-45497

RIA

Registered Investment Advisory firm - SEC (9/21/2016 Approved)

Florida

Registered Investment Advisory firm - SEC (10/13/2016 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (10/13/2016 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/13/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/21/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/2018

General Securities Representative Examination

Current Firm

DIVERSIFIED RESOURCES, LLC

DIVERSIFIED RESOURCES | WRIGHT, GEORGE EDWARD | DIVERSIFIED RESOURCES, LLC

CRD#: 31346 / SEC#: 801-108432, 8-45497

RIA

Registered Investment Advisory firm - SEC (9/21/2016 Approved)

Florida

Registered Investment Advisory firm - SEC (10/13/2016 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (10/13/2016 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/13/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

70 Jefferson Blvd. 4th Floor, Warwick, RI 02888

Mailing Address

70 Jefferson Blvd. 4th Floor, Warwick, RI 02888

Phone number

(401) 941-1500

Established

Rhode Island since 01/16/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (8 States and Territories)

FINRA licenses (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

DIVERSIFIED RESOURCES ADV PART 2 A DISCLOSURE BROCHURE (3/11/2025)

Direct owners and executive officers

Name	Position	CRD#
BACON, KAREN JOSEPHINE	MANAGING MEMBER ,PRINCIPAL AND CCO	2410249

Regulatory assets under management

Total Number of Accounts	1,139
AUM (Assets Under Management)	$ 233,686,640

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

John E. Cerilli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DIVERSIFIED RESOURCES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WADDELL & REED

WADDELL & REED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

DIVERSIFIED RESOURCES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2018

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2018

Current Firm

DIVERSIFIED RESOURCES, LLC

Contact information

SEC notice filing (8 States and Territories)

FINRA licenses (11 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

DIVERSIFIED RESOURCES, LLC

TRUST BUT VERIFY

Contact information

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