DF
Daniel J. Fantozzi
CETERA INVESTMENT ADVISERS LLC
NEPTUNE, NJ 07753
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CRD#: 7561041
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Professional summary
Daniel Joseph Fantozzi, who also goes by Daniel Fantozzi, Dan Joseph Fantozzi, Daniel Joseph Fantozzi, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Neptune, New Jersey and CETERA WEALTH SERVICES, LLC located in Neptune, New Jersey.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Daniel has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Fantozzi | Dan Joseph Fantozzi | Daniel Joseph Fantozzi
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.
BRENDON PIERSON, INC. POSITION: Financial Planning Sales Assistant NATURE: The nature of this activity is a financial planning/ CPA firm that offers financial advice and accounting services to its clients. The firm itself provides recommendations on portfolios, assists in tax loss harvesting, retirement planning, estate planning, payroll services and the creation of financial plans for its clients. Avantax services are offered through Brendon Pierson, Inc. as the broker-dealer for our clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/20/2023 ADDRESS: 4814 Outlook Drive, Suite 100, Wall NJ 07753, United States DESCRIPTION: Administrative:provide administrative/executive support, handle client matters, answerinquiries, research and resolve client service problems, responsible for scheduling clientappointmentsFundamental: prepare and update required documentation, updating client balances,tracking and managing incoming and outgoing workflow items, placing trades.Analytical: stock and portfolio analytics, provide insights to different financial solutions
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Fantozzi'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: 3311 Route 33, Neptune, NJ 07753RIA
CRD#: 105644
NEPTUNE, NJ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3311 Route 33 Suite 100, Neptune, NJ 07753BD
CRD#: 13572
Neptune, NJ
Past
December 6, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Neptune, NJ
Past
November 30, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Neptune, NJ
Past
July 19, 2022 - November 22, 2023
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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(9/5/2025)
IAR
New Jersey(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/19/2022
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Neptune, NJ 07753TRUST BUT VERIFY
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