AM
Alyson Mandato
CETERA INVESTMENT ADVISERS LLC
MANALAPAN, NJ 07726
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CRD#: 7266558
AM
Professional summary
Alyson Mandato is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Manalapan, New Jersey and CETERA WEALTH SERVICES, LLC located in Manalapan, New Jersey.
Alyson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Alyson has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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: KING FINANCIAL NETWORK; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MARKETING DBA NAME; START DATE: 05/2020; POSITION/TITLE/RELATIONSHIP: WEALTH MANAGEMENT ASSOCIATE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: PREPARES LEAD ADVISORS FOR CLIENT MEETINGS. RUNS PERFORMANCE, ALLOCATION, PORTFOLIO REPORTS THAT ARE PRESENTED OR EMAILED TO CLIENTS. UPDATES CLIENT'S NET WORTH STATEMENTS, MANAGES CRM NOTES, COMPLETES FOLLOW UP TASKS RELATED TO CLIENTS PLANNING NEEDS;
CRS (Client Relationship Summary) - RIA
Click below to view Alyson Mandato'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 1, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 198 U.s Hwy 9 North Suite 204, Manalapan, NJ 07726RIA
CRD#: 105644
MANALAPAN, NJ
Current
September 30, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 198 U.s Hwy 9 North Suite 204, Manalapan, NJ 07726BD
CRD#: 13572
MANALAPAN, NJ
Past
February 5, 2021 - October 1, 2025
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Manalapan, NJ
Past
October 9, 2020 - October 1, 2025
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Manalapan, 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
New Jersey(9/30/2025)
IAR
New Jersey(10/1/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/9/2020
General Securities Representative ExaminationGeneral 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.
