JC
John E. Cerilli
DIVERSIFIED RESOURCES
WARWICK, RI 02888
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CRD#: 6465341
JC
Professional summary
John Edward Cerilli, who also goes by John Cerilli, is a registered financial advisor currently at DIVERSIFIED RESOURCES, LLC located in Warwick, Rhode Island.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. John has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
NAME OF OBA: JOHN CERILLI - INDEPENDENT INSURANCE AGENT; ADDRESS OF OBA: 70 JEFFERSON BLVD WARWICK, RI 02888; NATURE: CONDUCTS INDEPENDENT PERSONAL INSURANCE SALES (TERM INSURANCE, LONG TERM DISABILITY INSURANCE, LONG TERM CARE INSURANCE AND FIXED ANNUITIES); INVESTMENT RELATED: NO (VARIABLE ANNUITIES THROUGH WORK AS RR); TITLE: AGENT; DUTIES: MANAGING THE BUSINESS AND AFFECTING SALES; START DATE: 4/1/2024; APPROX. NUMBER OF HOURS/MONTH: 10; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 10
CRS (Client Relationship Summary) - RIA
Click below to view John Edward Cerilli's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Edward Cerilli'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
DIVERSIFIED RESOURCES, LLC
Office #1: 70 Jefferson Blvd 4th Floor, Warwick, RI 02888Office #2: 70 Jefferson Blvd 4th Floor, Warwick, RI 02888RIA
BD
CRD#: 31346
WARWICK, RI
Current
March 21, 2024 - Present
DIVERSIFIED RESOURCES, LLC
Office #1: 70 Jefferson Blvd. 4th Floor, Warwick, RI 02888Office #2: 70 Jefferson Blvd 4th Floor, Warwick, RI 02888RIA
BD
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
BD
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
BD
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
BD
CRD#: 7691
PROVIDENCE, RI
Past
February 17, 2016 - March 16, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
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".
DR
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)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Massachusetts(3/21/2024)
RR
Rhode Island(3/21/2024)
IAR
Rhode Island(3/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DR
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)BD
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
7
SEC notice filing (8 States and Territories)
FINRA licenses (11 States and Territories)
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.
Company Information
DIVERSIFIED RESOURCES, LLC
CRD#: 31346Warwick, RI 02888TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
