Anthony Jude Capobianco

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

• 06/2004 → Present
  Tower Square Securities, Inc.
  Hartford, CT
• 09/2013 → Present
  Cetera Wealth Services, Llc
  Clifton Park, NY
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 1980 APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: CAPOBIANCO & ASSOCIATES, LLC DBA CAPOBIANCO FINANCIAL ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL AND INSURANCE SERVICES; START DATE: 04/1999; POSITION/TITLE/RELATIONSHIP: PRINCIPLE / OWNER / FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40-50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL AND INSURANCE SERVICES; 3 .NAME OF OTHER BUSINESS: CHESTER SHORES HOA INVESTMENT RELATED: NO ADDRESS: LOON LAKE, CHESTERTOWN, NY NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION START DATE: 10/2009 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: COLLECT DUES AND PAY EXPENSES FOR HOA 4. NAME OF OTHER BUSINESS: FLATTER X SHERIFFA, LLC ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: THOROUGHBRED RACING; START DATE: 12/2021; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS:0; BRIEF DESCRIPTION OF DUTIES:PART OWNER OF A RACE HORSE; 5. NAME OF OTHER BUSINESS: DREAM MAKER RACING; INVESTMENT RELATED: NO; ADDRESS: PO BOX 585, SARATOGA SPRINGS, NY 12866; NATURE OF BUSINESS: RACE HORSE; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: PART OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MINOR PARTNER IN RACE HORSE. NO DUTIES; 6. NAME OF OTHER BUSINESS: JC WIDE AWAKE LLC; INVESTMENT RELATED: NO; ADDRESS: 100 ELEANOR DRIVE KENDALL PARK, NJ 08824; NATURE OF BUSINESS: RACE HORSE; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MINOR PARTNER IN RACE HORSE, NO DUTIES;

Exams

• S63 Uniform Securities Agent State Law Examination
  2001-11-20

Other Names

• Anthony J Capobianco