Anthony John Cavallo

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2011-06-10

NJ RA
APPROVED

Since 2011-06-10

Branch Locations

1140 Springfield Ave, Mountainside, NJ 07092 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Anthony J Cavallo	Mountainside	NJ	04/2000	Present
Cetera Financial Specialists Llc	Schaumburg	IL	10/2005	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2011	Present

04/2000 → Present

Anthony J Cavallo

Mountainside, NJ
10/2005 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
06/2011 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1) ANTHONY J. CAVALLO ATTORNEY & CPA; NON-INVESTMENT RELATED; SOLE PROPRIETOR; 04/2000 TO PRESENT; 40 HOURS WEEK DURING TRADING HOURS; LEGAL SERVICES, ESTATE AND TAX PLANNING, REAL ESTATE, CORPORATE/BUSINESS TRANSACTIONS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-06-09

S65 Uniform Investment Adviser Law Examination

2011-06-09

View on SEC IAPD