Anthony Pallotta

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/1987 → Present
  Anthony Pallotta, Cpa
  Avon, OH
• 10/2006 → Present
  Gps Financial Group Llc
  Avon, OH
• 01/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 1999-08-19 → 2012-03-07
  Osaic Wealth, Inc.
  Avon, OH
  Westlake, OH
  Westlake, OH

Other Businesses

NAME OF OTHER BUSINESS: VARIOUS INSURANCE COMPANIES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: OFFERS FIXED LIFE, DISABILITY, ANNUITIES AND LTC NAME OF OTHER BUSINESS: ANTHONY PALLOTTA, CPA INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: TAX PREPARATION POSITION/TITLE/RELATIONSHIP: OWNER START DATE: N/A APX NUMBER OF HOURS PER WEEK: 4.5 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: TAX PREP FOR SECURITIES/ADVISORY CLIENTS NAME OF OTHER BUSINESS: NONE INVESTMENT RELATED: NO ADDRESS: NONE NATURE OF BUSINESS: FIDUCIARY POSITION/TITLE/RELATIONSHIP: TRUSTEE START DATE: N/A APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: TRUSTEE FOR THE CARLA PALLOTTA REVOCABLE LIVING TRUST NAME OF OTHER BUSINESS: GPS FINANCIAL GROUP, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: SECURITIES DBA POSITION/TITLE/RELATIONSHIP: PART OWNER AND REGISTERED REPRESENTATIVE START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES STEPHEN DZUREC OBA NAME OF OTHER BUSINESS: GPS FINANCIAL GROUP, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: SECURITIES DBA POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES

Exams

• S63 Uniform Securities Agent State Law Examination
  1993-07-21

Designations

• Certified Financial Planner