Mt. Arlington, NJ Office

Team
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Cetera

Institution

Firm-wide stats for Cetera

Total advisors

10,190

Across 5,086 offices

Clients per advisor

79 Low

Avg AUM per client

$306,089 Low

HNW client ratio

10% Low

About

Cetera Investment Advisers LLC is an SEC‑registered adviser that distributes its services through a large nationwide network of independent advisors and serves individuals (both non‑HNW and high‑net‑worth), employer‑sponsored retirement plans, corporate and charitable clients, and institutional accounts. Its offerings include discretionary and non‑discretionary portfolio management, financial planning and consulting, ERISA 3(21) and 3(38) retirement services, wrap and non‑wrap program platforms, and access to third‑party money managers.

The firm operates as a multi‑manager platform in which advisors may implement model portfolios provided by an affiliated manager (CIM), select unaffiliated third‑party managers, or construct bespoke strategies; program options range from automated InvestPath allocations to direct indexing, private client overlays, and unified managed accounts. Accounts are run under a mix of discretionary and non‑discretionary authorities and across multiple program structures and custodial relationships, with ongoing supervision and annual client reviews described in the ADV.

Notable features include scale — the ADV reports over $256 billion in assets under management, more than 10,000 advisors and roughly 800,000 clients — and a suite of affiliations (an affiliated trust company, affiliated model provider, strategic fund and ETP partner arrangements, and cash‑sweep programs) that shape product availability and revenue flows. The ADV also discloses recent regulatory settlements with the SEC (described in 2021, 2022 and 2024) and identifies an affiliation with a municipal advisor, both of which prospective clients should review alongside the brochure’s descriptions of revenue‑sharing, sweep arrangements and other program‑level conflicts of interest.

Based on Cetera

Expertise

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy

Based on Cetera

Occupation focus

Founder/Business Owner Executive

Based on Cetera

Location

200 Valley Road Suite 300

Mt. Arlington NJ 07856

Advisors at this office

23

Advisors at this office

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John M

Series 66

Mount Arlington, NJ

Cetera

John Mooney is a financial advisor at Cetera with five years of industry experience. He holds a Series 66 designation and has worked at firms including Avantax Advisory Services and Wealthspring Financial Partners. Outside of his advisory work, Mooney serves as treasurer of the Blairstown Rotary Club, where he manages financial transactions and account reconciliation. Cetera Investment Advisers LLC is an SEC-registered adviser offering services through a nationwide network of independent advisors. The firm serves a wide range of clients, including individuals, retirement plans, corporate and charitable entities, and institutional accounts, with a multi-manager platform that supports discretionary and non-discretionary portfolio management and financial planning.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Michael S

Series 66

Mt. Arlington, NJ

Cetera

Michael Smith is a Series 66-licensed financial advisor with Cetera, bringing four years of industry experience. He has held positions at Cetera Wealth Services, Nisivoccia Wealth Advisors, and Avantax Investment Services, among others. Outside of investment advising, he serves as a principal at Nisivoccia LLP, a CPA firm providing audit, accounting, and tax services, and is a member of the Jefferson Township Chamber of Commerce. Cetera Investment Advisers LLC is an SEC-registered firm serving a broad client base including individuals, retirement plans, corporate, charitable, and institutional accounts. The firm operates a multi-manager platform offering discretionary and non-discretionary portfolio management, financial planning, and access to third-party money managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Francis J

Series 66

Mount Arlington, NJ

Cetera

Francis Jones Jr. is a financial advisor at Cetera with 24 years of industry experience. He holds the Series 66 designation and has worked with multiple firms, including Avantax and 1ST Global Advisors. In addition to his advisory work, he is a partner and CPA at Nisivoccia & Co., LLP, a public accounting firm where he has been active since 1981. Cetera Investment Advisers LLC is an SEC-registered firm serving individual and institutional clients through a nationwide network of independent advisors. The firm offers a range of portfolio management and retirement services, utilizing a multi-manager platform with various program structures and has over $256 billion in assets under management.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Raymond S

Series 66

Mount Arlington, NJ

Cetera

Raymond Sarinelli is a financial advisor at Cetera with 24 years of industry experience and holds the Series 66 designation. His career includes long tenures at Avantax Investment Services, Inc. and 1ST Global Advisors, Inc. He is also involved with Nisivoccia LLP and Nisivoccia Wealth Advisors, LLC in financial services roles. Cetera Investment Advisers LLC is an SEC-registered advisory firm that supports a large network of independent advisors serving individuals, retirement plans, corporate, charitable, and institutional clients. The firm offers a multi-manager platform that includes discretionary and non-discretionary portfolio management, financial planning, and access to various third-party money managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Christopher P

Series 66

Mount Arlington, NJ

Cetera

Christopher Perrotta is a financial advisor at Cetera with seven years of industry experience. He holds a Series 66 designation and previously worked at Avantax and 1st Global Advisors. Outside of advising, he serves as treasurer for the Vernon Township Little League and is involved with the Sussex County YMCA. Cetera Investment Advisers LLC is a large nationwide network of independent advisors serving individuals, retirement plans, corporate, charitable, and institutional clients. The firm offers a range of portfolio management and financial planning services through multiple program structures and affiliations.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Albert P

Series 66

Mount Arlington, NJ

Cetera

Albert Passanante is a financial advisor at Cetera with 25 years of industry experience. He holds a Series 66 designation and has previously worked at Avantax Investment Services, Avantax Advisory Services, Avantax Insurance Services, and 1st Global Advisors. Passanante is also an owner and financial advisor at Nisivoccia LLP, where he has been involved in providing financial services since 2001. Cetera Investment Advisers LLC is an SEC-registered firm serving individuals, employer-sponsored retirement plans, corporate, charitable, and institutional clients. The firm offers a range of portfolio management and financial planning services through a large nationwide network of independent advisors and operates a multi-manager platform with various program structures and investment options.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Kathryn M

Series 66

Mount Arlington, NJ

Cetera

Kathryn Mantell is a financial advisor at Cetera with 24 years of industry experience. She holds a Series 66 designation and has previously worked with Avantax and 1ST Global Advisors. Outside of her advisory role, Mantell serves on the executive board and as treasurer for local Boy Scouts of America councils and is treasurer of the Randolph Area Chamber of Commerce. Cetera Investment Advisers LLC is an SEC-registered adviser offering a multi-manager platform to individuals, retirement plans, corporations, and institutional clients. The firm provides a range of portfolio management and financial planning services through a nationwide network of independent advisors.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Douglas C

Series 66

Arlington, NJ

Cetera

Douglas Collins is a financial advisor at Cetera with 19 years of industry experience. He holds a Series 66 designation and has worked with Avantax Investment Services and 1st Global Advisors, among other firms. Collins is a partner at Nisivoccia & Company, LLP and serves on several nonprofit and advisory boards, including the Deacon Family Foundation and the House of the Good Shepherd. Cetera Investment Advisers LLC is an SEC-registered advisor that serves a broad client base including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a multi-manager platform with various portfolio management options and provides access to third-party money managers through both discretionary and non-discretionary programs.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Marcia G

Series 66

Mount Arlington, NJ

Cetera

Marcia Geltman is a financial advisor with Cetera, holding a Series 66 designation and 17 years of industry experience. She has previously worked with Avantax and 1st Global Capital Corp., and served as a partner at Nisivoccia LLP, a tax and accounting firm. Outside of advising, she is active in her community as an administrator and secretary of the Randolph Chamber of Commerce and serves as a trustee for The Growing Stage, a children’s theater organization. Cetera Investment Advisers LLC operates as a large multi-manager platform serving individuals, retirement plans, corporate, charitable, and institutional clients. The firm offers a range of portfolio management, financial planning, and retirement services with access to affiliated and third-party managers across various program structures.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Anthony R

Series 66

Mount Arlington, NJ

Cetera

Anthony Rispoli is a financial advisor with Cetera who holds a Series 66 designation and has 10 years of industry experience. He previously worked at Avantax Investment Services, Inc. and Avantax Advisory Services, among other firms. Outside of his advisory role, he is involved with Nisivoccia LLP and is the owner of Wealthspring Financial Partners LLC, a vehicle for acquiring financial services and tax practices. Cetera Investment Advisers LLC serves a broad range of clients, including individuals, retirement plans, corporate, charitable, and institutional accounts. The firm offers various portfolio management and financial planning services through a multi-manager platform with access to affiliated and third-party managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Michael S

Series 66

Mt. Arlington, NJ

Cetera

Michael Smith is a financial advisor at Cetera with one year of industry experience. He holds the Series 66 designation and has previously worked with firms including Avantax and Northwestern Mutual. He also serves as a Wealth Management Assistant at Nisivoccia Wealth Advisors, where he supports client service and account-related activities. Cetera Investment Advisers LLC is an SEC-registered firm that services individuals, retirement plans, corporate and charitable clients, and institutional accounts through a large nationwide network of independent advisors. The firm offers a range of portfolio management and financial planning services, featuring multi-manager investment platforms with diverse program options and custodial arrangements.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Thomas D

PFS™, Series 66

Mount Arlington, NJ

Cetera

Thomas Dartnell is a financial advisor at Cetera with 25 years of industry experience. He holds the PFS™ and Series 66 designations and has worked at firms including Avantax and 1ST Global Advisors. In addition to his advisory role, he is a partner at Nisivoccia LLP, a certified public accounting firm, and is involved as an owner and investor in Wealthspring Financial Partners LLC. Cetera Investment Advisers LLC serves a broad client base including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a multi-manager platform with diverse portfolio management options, combining discretionary and non-discretionary services across various program structures and custodial relationships.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Ryan H

Series 66

Mount Arlington, NJ

Cetera

Ryan Hynson is a Series 66-licensed advisor with Cetera, bringing four years of industry experience. He has previously worked with Nisivoccia Wealth Advisors and Avantax Investment Services and serves as a partner at Nisivoccia LLP, a tax and accounting firm. Outside of advisory work, he is a committee member of the Sussex County Chamber of Commerce Young Professionals Group. Cetera Investment Advisers LLC is an SEC-registered firm serving individual, retirement plan, corporate, charitable, and institutional clients. The firm offers a multi-manager platform with a range of portfolio management and advisory services, supported by a network of over 10,000 advisors and more than $256 billion in assets under management.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Deirdre H

Series 66

Mount Arlington, NJ

Cetera

Deirdre Hartmann is a financial advisor with Cetera, holding a Series 66 designation and 10 years of industry experience. She has previously worked with Avantax Advisory Services and 1st Global Advisors, and has been associated with Nisivoccia LLP since 2006. Hartmann is also a trustee for a family trust and an owner of Wealthspring Financial Partners LLC, a vehicle created for acquiring financial services and tax practices. Cetera Investment Advisers LLC is an SEC-registered firm serving a wide range of clients including individuals, retirement plans, corporations, and charitable organizations. The firm offers diverse portfolio management and financial planning services through a multi-manager platform with access to both affiliated and third-party managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

David E

Series 66

Mount Arlington, NJ

Cetera

David Evans is a financial advisor at Cetera with 24 years of industry experience and holds a Series 66 designation. He previously worked at Avantax Investment Services and 1ST Global Advisors, and maintains a long-standing role with Nisivoccia & Co. LLP. Evans also serves as a referring partner at Nisivoccia Wealth Advisors, a firm providing financial services to clients. Cetera Investment Advisers LLC is an SEC-registered advisor serving a broad client base including individuals, retirement plans, and institutional accounts. The firm offers a multi-manager platform with various portfolio management options and manages over $256 billion in assets through a nationwide network of more than 10,000 advisors.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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