RS
Raymond A. Sarinelli
CETERA INVESTMENT ADVISERS LLC
MOUNT ARLINGTON, NJ 07856
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CRD#: 6952627
RS
Professional summary
Raymond Alfred Sarinelli, who also goes by Ray Sarinelli, Raymond Sarinelli, Jr., is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mount Arlington, New Jersey and CETERA WEALTH SERVICES, LLC located in Mount Arlington, New Jersey.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Raymond has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ray Sarinelli | Raymond Sarinelli, Jr.
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) NISIVOCCIA WEALTH LLC POSITION: N/A NATURE: A wealth management company providing investment securities through 1st Global. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2019 ADDRESS: 200 Valley Road Suite 300, Mount Arlington NJ 07856, United States DESCRIPTION: I will be a registered representative starting 1/1/19 2) WEALTHSPRING FINANCIAL PARTNERS LLC POSITION: Owner NATURE: This is the proposed acquisition vehicle of carious Financial services and tax practices. The vehicle was created so we could operate these acquired businesses and not confuse them with the Nisivoccia LLP brand. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2022 ADDRESS: 9 Ryan Court, Long Valley NJ 07853, United States DESCRIPTION: Passive Investor
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Alfred Sarinelli'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 200 Valley Road Suite 300, Mount Arlington, NJ 07856RIA
CRD#: 105644
MOUNT ARLINGTON, NJ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 200 Valley Road Suite 300, Mount Arlington, NJ 07856BD
CRD#: 13572
MOUNT ARLINGTON, NJ
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MOUNT ARLINGTON, NJ
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MOUNT ARLINGTON, NJ
Past
July 17, 2018 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
MOUNT ARLINGTON, NJ
Past
June 20, 2018 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
MOUNT ARLINGTON, 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
Florida(9/5/2025)
RR
New Jersey(9/5/2025)
IAR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Mount Arlington, NJ 07856TRUST BUT VERIFY
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