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Current Employers
Modern Wealth Management, Llc

1712 Main Street Suite 400, Kansas City, MO 64108 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-06-18
  • NY RA
    APPROVED
    Since 2025-06-18

Branch Locations

One Bausch & Lomb Place, Rochester, NY 14604 • United States

1712 Main Street Suite 400, Kansas City, MO 64108 • 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
OrganizationCityStateFromTo
Gamco Investors Inc. Rye NY 08/2016 08/2018
G.rEsearch, Llc Rye NY 06/2019 01/2020
Mount Kisco Memorial Pool Mount Kisco NY 05/2014 09/2016
Fordham University Bronx NY 09/2015 05/2019
Neuberger Berman New York NY 03/2022 03/2024
Gamco Investors Rye NY 01/2020 06/2021
Rutti Consulting Pound Ridge NY 06/2021 03/2022
Lincoln Financial Advisors Corp Rochester NY 03/2024 01/2025
Osaic Wealth, Inc. Rochester NY 01/2025 03/2025
Mutual Securities, Inc. Camarillo CA 05/2025 Present
Modern Wealth Management, Llc Lenexa KS 05/2025 Present
  • 08/2016 → 08/2018
    Gamco Investors Inc.
    Rye, NY
  • 06/2019 → 01/2020
    G.rEsearch, Llc
    Rye, NY
  • 05/2014 → 09/2016
    Mount Kisco Memorial Pool
    Mount Kisco, NY
  • 09/2015 → 05/2019
    Fordham University
    Bronx, NY
  • 03/2022 → 03/2024
    Neuberger Berman
    New York, NY
  • 01/2020 → 06/2021
    Gamco Investors
    Rye, NY
  • 06/2021 → 03/2022
    Rutti Consulting
    Pound Ridge, NY
  • 03/2024 → 01/2025
    Lincoln Financial Advisors Corp
    Rochester, NY
  • 01/2025 → 03/2025
    Rochester, NY
  • 05/2025 → Present
    Mutual Securities, Inc.
    Camarillo, CA
  • 05/2025 → Present
    Lenexa, KS
Previous Registrations
Other Businesses

1. Modern Wealth Management, Start Date: 05/27/2025, One Bausch & Lomb Place, Ste. 900, Rochester, NY 14604, LLC, RIA, Relationship Manager, Assist lead Wealth Advisors with client meetings, lead meetings with clients, prepare reports to present to clients, Investment Related, 150 Hours per month, 6 Hours per day during trading hours. 2. Independent Insurance Agent, Start Date: 06/01/2025, One Bausch & Lomb Place, Ste. 900, Rochester, NY 14604, Insurance Agent, Insurance Agent for Fixed Life Insurance, Insurance Agent, Insurance Agent for Fixed Life Insurance, Not Investment Related, 5 Hours per month, .25 Hours per day during trading hours. 3. Mutual Securities Group, Start Date: 05/27/2025, Camarillo, CA. Registered Representative, 150 hours per month, 6 hours per day during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-06-16
S63 Uniform Securities Agent State Law Examination 2019-10-07
  • S65 Uniform Investment Adviser Law Examination
    2022-06-16
  • S63 Uniform Securities Agent State Law Examination
    2019-10-07
Other Names
  • Michael Patrick Cerutti
  • Michael Cerutti
  • Mike Cerutti

View on SEC IAPD

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