DC
Dominic Carnazzo
CETERA INVESTMENT ADVISERS LLC
OMAHA, NE 68114
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CRD#: 6676860
DC
Professional summary
Dominic Carnazzo, who also goes by Dominic Steven Carnazzo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Omaha, Nebraska and CETERA INVESTMENT SERVICES LLC located in Omaha, Nebraska.
Dominic is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Dominic has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dominic Steven Carnazzo
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) OWM INC, DBA FOR CETERA INVESTORS
CRS (Client Relationship Summary) - RIA
Click below to view Dominic Carnazzo'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
October 14, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1121 N. 102nd Ct Suite 202, Omaha, NE 68114RIA
CRD#: 105644
OMAHA, NE
Current
June 20, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1121 N. 102nd Ct Suite 202, Omaha, NE 68114BD
CRD#: 15340
Omaha, NE
Past
September 26, 2018 - June 21, 2019
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
RALSTON, NE
Past
August 8, 2016 - September 14, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
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(1/3/2023)
RR
Arizona(6/21/2019)
RR
Arkansas(1/3/2023)
RR
California(6/21/2019)
RR
Colorado(6/21/2019)
RR
Connecticut(1/3/2023)
RR
District of Columbia(1/3/2023)
RR
Florida(1/3/2023)
RR
Georgia(1/3/2023)
RR
Illinois(1/3/2023)
RR
Indiana(1/3/2023)
RR
Iowa(6/21/2019)
RR
Kansas(6/21/2019)
RR
Kentucky(1/3/2023)
RR
Louisiana(6/7/2024)
RR
Michigan(1/3/2023)
RR
Minnesota(1/3/2023)
RR
Missouri(6/21/2019)
RR
Nebraska(6/21/2019)
IAR
Nebraska(10/14/2021)
RR
Nevada(1/3/2023)
RR
New York(1/3/2023)
RR
North Carolina(1/3/2023)
RR
Oklahoma(1/3/2023)
RR
Oregon(1/3/2023)
RR
Pennsylvania(1/3/2023)
RR
South Carolina(1/3/2023)
RR
South Dakota(1/3/2023)
RR
Tennessee(7/11/2023)
RR
Texas(1/3/2023)
IAR
Texas(1/3/2023)
RR
Utah(1/3/2023)
RR
Virginia(1/3/2023)
RR
Washington(1/3/2023)
RR
Wisconsin(11/19/2024)
RR
Wyoming(1/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Omaha, NE 68114TRUST BUT VERIFY
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