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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

ANTHONY GRASSI

Advisor at CETERA INVESTMENT ADVISERS LLC

RED BANK, NJ | STATEN ISLAND, NY

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Search this name across graphsid dfx:ria:b071e31b-9101-29f2-21b8-78ada8dc1b3d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 14, 2004 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 17, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Oct 17, 1996
First registration: May 14, 2004
Dual registered: yes, broker-dealer
Other names: ANTHONY JR GRASSI
IAPD individual key: 2791597

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	Nov 12, 2020	n/a	yes	RED BANK, NJ\|STATEN ISLAND, NY	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Nov 12, 2020	no	CHESTERFIELD, MO\|STATEN ISLAND, NY\|RED BANK, NJ	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Dec 9, 2008	Jul 2, 2012	no	STATEN ISLAND, NY\|RED BANK, NJ\|SAN DIEGO, CA\|RED BANK, NJ	Previous registration
FIRST MONTAUK SECURITIES CORP.	n/a	Sep 29, 2008	Dec 9, 2008	no	RED BANK, NJ\|STATEN ISLAND, NY\|RED BANK, NJ\|STATEN ISLAND, NY	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 14, 2004	Jun 11, 2004	no	STATEN ISLAND, NY	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
FIRST ALLIED ADVISORY SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other
FIRST MONTAUK SECURITIES CORP.	FIRST ALLIED SECURITIES, INC.	Dec 9, 2008	Dec 9, 2008	0	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	FIRST MONTAUK SECURITIES CORP.	Jun 11, 2004	Sep 29, 2008	1,571	Firm change after gap	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Nov 12, 2020 to presentfactForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Dec 9, 2008 to Jul 2, 2012factForm ADV
→ FIRST MONTAUK SECURITIES CORP.Registered adviserregistration: previous registration
Sep 29, 2008 to Dec 9, 2008factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 14, 2004 to Jun 11, 2004factForm ADV

Dated events

No dated event names this entity yet.