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CRD 4551508
Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2026-08-18 |
| NY | RA | APPROVED | 2026-07-07 |
| NJ | RA | APPROVED | 2025-09-05 |
Branch Locations
Long Valley, NJ • United States
200 Valley Rd Suite 300, Mount Arlington, NJ 07856 • United States
7900 E. Union Ave Suite 1100, Denver, CO 80237 • United States
1140 Route 22 East Suite 203, Bridgewater, NJ 08807 • United States
88 Bartley Flanders Road Suite 101, Flanders, NJ 07836 • United States
115 Horseneck Road Suite 201, Montville, NJ 07045 • United States
191 Woodport Road Suite 208H, Sparta, NJ 07871 • United States
45 Rockefeller Plaza Suite 2000, New York, NY 10111 • United States
262 Upper Ferry Road, Ewing, NJ 08628 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invest Financial Corporation | Basking Ridge | NJ | 01/2013 | 02/2018 |
| Lpl Financial Llc | Basking Ridge | NJ | 02/2018 | 03/2024 |
| Wealthspring Financial Partners Llc | Mount Arlington | NJ | 03/2024 | Present |
| Avantax Investment Services Inc. | Mount Arlington | NJ | 03/2024 | 09/2025 |
| Avantax Advisory Services | Mount Arlington | NJ | 03/2024 | 09/2025 |
| Avantax Insurance Services | Mount Arlington | NJ | 03/2024 | 09/2025 |
| Nisivoccia Wealth Advisors Llc | Mt Arlington | NJ | 03/2024 | Present |
| Nisivoccia Wealth Advisors Llc | Mt Arlington | NJ | 03/2024 | Present |
| Cetera Wealth Services, Llc | Mount Arlington | NJ | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) WEALTHSPRING FINANCIAL PARTNERS LLC POSITION: Director of Planning NATURE: Offers wealth management, financial planning and asset management services to Individual investors and businesses. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 03/15/2024 ADDRESS: 200 Valley Road, Suite 300, Mount Arlington NJ 07856, United States DESCRIPTION: Meet with clients, review assets, financial planning, long term care planning and asset management. 2) NISIVOCCIA WEALTH ADVISORS LLC POSITION: Wealth Management Advisor NATURE: Finacial planning, investment planning wealth management INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/22/2024 ADDRESS: 200 valley rd, Suite 300, mt Arlington NJ 07856, United States DESCRIPTION: Meet with Firm clients to determine investment goals and objectives and recommend and implement investment strategies to meet objectives.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 2002-08-22 |
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