Gary Capaldo

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

• 12/2008 → 09/2022
  First Allied Securities, Inc.
  San Diego, CA
• 07/2012 → 11/2020
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 11/2020 → 11/2020
  First Allied Advisory Services
  Schaumburg, IL
• 09/2022 → Present
  Cetera Advisors Llc
  Staten Island, NY
• 11/2020 → Present
  Cetera Investment Advisers Llc (
  Schaumburg, IL

Previous Registrations

• 2012-07-02 → 2020-11-12
  First Allied Advisory Services, Inc.
  Chesterfield, MO
  Staten Island, NY
• 2008-12-09 → 2012-07-02
  First Allied Securities, Inc.
  New York, NY
  New York, NY
  New York, NY
  Red Bank, NJ
  Staten Island, NY
  San Diego, CA
  Staten Island, NY
  New York, NY
• 2008-09-16 → 2008-12-09
  First Montauk Securities Corp.
  Red Bank, NJ
  Staten Island, NY
  Red Bank, NJ
  New York, NY

Other Businesses

1.) WAGNER COLLEGE - CFP INSTRUCTOR; EDUCATION; EDUCATION; START DATE:12/10/2008. 2.) FAUCI RUBANO CAPALDO TOBACCO LLC; PARTNER; START DATE:5/1/2004. 3.) FRCT WEALTH MANAGEMENT GROUP; PARTNER; DBA; START DATE:12/1/2008. 4.) GUIDED PROFESSIONAL SOLUTIONS; PARTNER; DBA; START DATE:12/7/2009. 5.) FAMILY MEMBER IRRECOVABLE TRUST;SUCCESSOR TRUSTEE; FIDUCIARY POSITION (TRUSTEE, POA, EXECUTOR, ETC.); START DATE 04/05/2013 6.) MJCC MANAGEMENT INC; PRESIDENT; START DATE 05/15/2014

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-09-14
• S63 Uniform Securities Agent State Law Examination
  1994-09-29

Designations

• Certified Financial Planner