Dominic E. Marsico

CETERA INVESTMENT ADVISERS LLC

MEDIA, PA 19063

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CRD#: 837526

Professional summary

Dominic Edward Marsico JR, who also goes by Dominic E Marsico, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Media, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Media, Pennsylvania.

Dominic is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Dominic has worked at 9 firms and has passed the Series 63, Series 6TO, Series 22TO, SIE, Series 62, Series 1, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dominic E Marsico

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.

NAME OF OTHER BUSINESS: FINANCIAL EDUCATION SEMINARS INC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 01/1995, POSITION/TITLE/RELATIONSHIP: PRESIDENT, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 38, BRIEF DESCRIPTION OF DUTIES: USE THE COMPANY AS A TAX PASS THROUGH;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic Edward Marsico JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 124 E State Street, Media, PA 19063

RIA

CRD#: 105644

MEDIA, PA

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 124 E State Street, Media, PA 19063

CRD#: 13572

MEDIA, PA

Past

February 29, 2012 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

MEDIA, PA

Past

May 23, 2006 - December 31, 2008

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

MEDIA, PA

Past

June 6, 1995 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

MEDIA, PA

Past

April 2, 1991 - October 19, 1992

HOME LIFE INSURANCE COMPANY

CRD#: 4184

Past

April 2, 1991 - June 1, 1995

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

February 5, 1985 - April 9, 1991

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

November 26, 1984 - April 9, 1991

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

April 11, 1983 - November 21, 1984

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

Past

May 13, 1977 - April 21, 1983

VP DISTRIBUTORS LLC

CRD#: 3036

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

New Jersey
(1/6/2025)

Pennsylvania
(8/10/2023)

IAR

Pennsylvania
(8/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/25/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 11/6/2000

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 1

Date: 5/9/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/27/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/25/1999

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Dominic E. Marsico

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic Edward Marsico JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

HOME LIFE INSURANCE COMPANY

WS GRIFFITH SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

ADVANTAGE CAPITAL CORPORATION

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/25/2000

Series 6TO

Date: 1/2/2023

Series 22TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 62

Date: 11/6/2000

Series 1

Date: 5/9/1977

Series 24

Date: 2/27/2001

Series 26

Date: 10/25/1999

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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