Individual Firm
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JOHN D OLERIO
CRD#: 1717409
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 100 LIGHTHOUSE DR
DOVER, NH 03820
DOVER, NH 03820
CETERA INVESTMENT SERVICES LLCCRD#: 15340 100 LIGHTHOUSE DR
DOVER, NH 03820
DOVER, NH 03820
View By:
5/18/2009
Customer Dispute
Denied
State Registrations
IA
New Hampshire 1/27/2025
B
New Hampshire 1/28/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 1/27/2025
B
Registered with this firm since 1/28/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/11/2011 - 01/26/2024 | NEW HAVEN, CT | |
B | 10/11/2011 - 01/26/2024 | NEW HAVEN, CT | |
IA | 02/13/2007 - 10/11/2011 | KENSINGTON, CT | |
B | 02/13/2007 - 10/11/2011 | KENSINGTON, CT | |
IA | 08/19/2002 - 02/13/2007 | FARMINGTON, CT | |
B | 07/15/1999 - 02/13/2007 | FARMINGTON, CT | |
B | 10/22/1997 - 07/15/1999 | PURCHASE, NY | |
B | 10/27/1987 - 11/19/1997 | NEWARK, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.