AF
Anthony M. Fauci
CETERA INVESTMENT ADVISERS LLC
RED BANK, NJ 07701
Some features on this profile are disabled
CRD#: 727667
AF
Professional summary
Anthony Michael Fauci is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Red Bank, New Jersey and CETERA ADVISORS LLC located in Staten Island, New York.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Anthony has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 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.) FRCT LLC - FAUCI RUBANO CAPALDO TOBACCO LLC; CORPORATION; PARTNER; DBA >5 HOURS PER MONTH. START DATE 4/16/2004. 2.) FRCT WEALTH MANAGEMENT GROUP; PARTNER; DBA; START DATE: 12/01/2008. 3.) GUIDED PROFESSIONAL SOLUTIONS LLC; 101 TYRELLAN AVE STE 400 STATE ISLAND NY 10009; DBA; PARTNER (20%); START DATE: 11/01/2009; 40 HOURS A MONTH 4.) THE OVERLOOK MANAGEMENT CORP; PARTNER; HOLDING COMPANY; START DATE 07/10/2015; 8 HOURS PER MONTH. 5.) FEHERTY'S TROOPS FIRST; INDEPENDENT CONTRACTOR; NON-PROFIT ORGANIZATION; START DATE: 09/15/2017; 4 HOURS PER MONTH. 6.) ID 360; PARTNER; CONSULTING; START DATE: 05/22/2019; 12 HOURS PER MONTH. 7.) CYBER COMPLIANT; PARTNER; CONSULTING; START DATE: 4/15/2021; 4 HOURS PER MONTH. 8.) NAME OF OTHER BUSINESS: TONY'S ITALIAN TABLE, LLC , INVESTMENT RELATED: NO, ADDRESS: 9430 BELLASERA CIRCLE, MYRTLE BEACH, SC 29579, NATURE OF BUSINESS: RESTAURANT, START DATE:11/2024, POSITION/TITLE/RELATIONSHIP: PART OWNER, APX NUMBER OF HOURS PER WEEK: 3, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: PASSIVE INVESTOR;
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Michael Fauci'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 169 Maple Ave, Red Bank, NJ 07701Office #2: 2420 Arthur Kill Road, Suite 300, Staten Island, NY 10309Office #3: 10 Waterside Plaza Suite 4h, New York, NY 10010RIA
CRD#: 105644
RED BANK, NJ
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1000 South Ave Suite 103, Staten Island, NY 10314Office #2: 169 Maple Ave, Red Bank, NJ 07701Office #3: 521 5th Avenue Suite 1721 17th Floor, New York, NY, 10175BD
CRD#: 10299
Staten Island, NY
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
STATEN ISLAND, NY
Past
December 9, 2008 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
STATEN ISLAND, NY
Past
December 9, 2008 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
STATEN ISLAND, NY
Past
September 29, 2008 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
RIA
CRD#: 13755
STATEN ISLAND, NY
Past
May 12, 2006 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
STATEN ISLAND, NY
Past
April 14, 2004 - June 2, 2006
ASHTON-CLAYTON FINANCIAL GROUP, LLC
BD
CRD#: 103720
STATEN ISLAND, NY
Past
May 24, 1994 - April 14, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 24, 1994 - April 14, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(9/8/2022)
RR
California(9/8/2022)
RR
Connecticut(9/8/2022)
RR
Delaware(1/22/2024)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Massachusetts(9/8/2022)
RR
Michigan(9/8/2022)
IAR
New Jersey(11/12/2020)
RR
New Jersey(9/8/2022)
IAR
New York(3/31/2021)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Ohio(5/14/2025)
RR
Oregon(9/8/2022)
RR
Pennsylvania(9/8/2022)
RR
Rhode Island(9/8/2022)
RR
South Carolina(9/8/2022)
IAR
South Carolina(12/9/2024)
RR
Tennessee(1/24/2024)
RR
Virginia(9/8/2022)
RR
Washington(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
