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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

THERESA CARMAGNOLA

Advisor at CETERA INVESTMENT ADVISERS LLC

FAIRFIELD, NJ

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Search this name across graphsid dfx:ria:785961a4-6eee-cb06-9e62-77bc69ddb582

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 1, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 3, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 3, 2002
First registration: Feb 1, 2007
Dual registered: yes, broker-dealer
Other names: THERESA MOSCATELLO|THERESA CARMAGOLA
IAPD individual key: 4304488

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	FAIRFIELD, NJ	Current employment
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Mar 4, 2021	May 20, 2021	no	FAIRFIELD, NJ	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 6, 2014	Apr 6, 2021	no	Warren, NJ	Previous registration
FINANCIAL NORTHEASTERN SECURITIES, LLC	n/a	Feb 1, 2007	Mar 4, 2014	no	FAIRFIELD, NJ\|FAIRFIELD, NJ\|FAIRFIELD, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SUMMIT FINANCIAL GROUP INC	CETERA INVESTMENT ADVISERS LLC	May 20, 2021	Jun 29, 2023	770	Bulk transfer	Ibd to ibd
UBS FINANCIAL SERVICES INC.	SUMMIT FINANCIAL GROUP INC	Apr 6, 2021	Mar 4, 2021	-33	Firm change after gap	Wirehouse to ibd
FINANCIAL NORTHEASTERN SECURITIES, LLC	UBS FINANCIAL SERVICES INC.	Mar 4, 2014	Feb 6, 2014	-26	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Mar 4, 2021 to May 20, 2021factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 6, 2014 to Apr 6, 2021factForm ADV
→ FINANCIAL NORTHEASTERN SECURITIES, LLCRegistered adviserregistration: previous registration
Feb 1, 2007 to Mar 4, 2014factForm ADV

Dated events

No dated event names this entity yet.