DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

John Cerilli

Advisor at CHARLES SCHWAB & CO., INC.

Providence, RI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d1c8a0e2-3daa-b4d8-f985-1f06307aad43

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Sep 24, 2018 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: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 21, 2018
First registration: Sep 24, 2018
Dual registered: yes, broker-dealer
Other names: JOHN EDWARD CERILLI|JOHN CERILLI
IAPD individual key: 6465341

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
CHARLES SCHWAB & CO., INC.	National bd RIA	Jun 6, 2026	n/a	yes	Providence, RI	Current employment
DIVERSIFIED RESOURCES, LLC	Independent wealth	Mar 21, 2024	Nov 11, 2025	no	WARWICK, RI\|WARWICK, RI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 21, 2021	Mar 15, 2024	no	HAMDEN, CT\|WEST WARWICK, RI	Previous registration
WADDELL & REED	Former SEC adviser	Sep 20, 2019	Jul 21, 2021	no	HAMDEN, CT\|WEST WARWICK, RI	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 24, 2018	Sep 23, 2019	no	PROVIDENCE, RI	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
DIVERSIFIED RESOURCES, LLC	CHARLES SCHWAB & CO., INC.	Nov 11, 2025	Jun 6, 2026	207	Firm change	RIA to ibd
LPL FINANCIAL LLC	DIVERSIFIED RESOURCES, LLC	Mar 15, 2024	Mar 21, 2024	6	Firm change	Ibd to RIA
WADDELL & REED	LPL FINANCIAL LLC	Jul 21, 2021	Jul 21, 2021	0	Bulk transfer	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WADDELL & REED	Sep 23, 2019	Sep 20, 2019	-3	Firm change	Wirehouse to ibd

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jun 6, 2026 to presentfactForm ADV
→ DIVERSIFIED RESOURCES, LLCRegistered adviserregistration: previous registration
Mar 21, 2024 to Nov 11, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 21, 2021 to Mar 15, 2024factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Sep 20, 2019 to Jul 21, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 24, 2018 to Sep 23, 2019factForm ADV

Dated events

Occurred
Nov 11, 2025
Advisor changed firm
John Cerilli left Diversified Resources, Llc for Charles Schwab & Co., Inc. (registered 2026-06-06)
Form ADVobserved 5 days ago
Occurred
Mar 15, 2024
Advisor changed firm
John Cerilli left Lpl Financial Llc for Diversified Resources, Llc (registered 2024-03-21)
Form ADVobserved 5 days ago