JM
Joseph A. Marshall
CETERA INVESTMENT ADVISERS LLC
FALL RIVER, MA 02723
Some features on this profile are disabled
CRD#: 1023070
JM
Professional summary
Joseph Allan Marshall is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fall River, Massachusetts and CETERA ADVISORS LLC located in Fall River, Massachusetts.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERD LOCATION,
NATURE OF BUSINESS: FIXED INSURANCE,
START DATE: 9/2016,
APX NUMBER OF HOURS PER WEEK: 40,
APX NUMBER OF TRADING HOURS PER WEEK: 32.5,
POSITION/TITLE/RELATIONSHIP: AGENT,
BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITY, ANNUITIES, & LONG TERM CARE
2.NAME OF OTHER BUSINESS: J. MARSHALL ASSOCIATES & J. MARSHALL ASSOCAITES INSURANCE SERVICES INC.,
INVESTMENT RELATED: YES,
ADDRESS: 982 EASTERN AVENUE FALL RIVER MA 02723,
NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES, SECURITIES & FIXED INSURANCE,
START DATE: 4/1991,
APX NUMBER OF HOURS PER WEEK: 30,
APX NUMBER OF TRADING HOURS PER WEEK: 30,
POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR,
BRIEF DESCRIPTION OF DUTIES: MEETS WITH AND SERVICES EXISTING CLIENTS
3.NAME OF OTHER BUSINESS: PRINCE HENRY SOCIETY OF FALL RIVER,
INVESTMENT RELATED: NO,
ADDRESS: PO BOX 3563 FALL RIVER MA 02721,
NATURE OF BUSINESS: 501(C)3 ORGANIZATION,
START DATE: 1980,
APX NUMBER OF HOURS PER WEEK: 1,
APX NUMBER OF TRADING HOURS PER WEEK: 1,
POSITION/TITLE/RELATIONSHIP: MEMBER,
BRIEF DESCRIPTION OF DUTIES: ATTEND SEVERAL FUNDRAISING EVENTS EACH YEAR
4.NAME OF OTHER BUSINESS: N/A
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: COMMERCIAL PROPERTY
START DATE: 1/2015
POSITION/TITLE/RELATIONSHIP: OWNER
APX NUMBER OF HOURS PER WEEK: 1
APX NUMBER OF HOURS DURING TRADING HOURS: 1
BRIEF DESCRIPTION OF DUTIES: RENT OUT SPACE TO OUTSIDE ATTORNEY
5.NAME OF OTHER BUSINESS: VIETNAM VETERANS MEMORIALS WALL COMMITTEE
INVESTMENT RELATED: NO
ADDRESS: 982 EASTERN AVE FALL RIVER MA 02723
NATURE OF BUSINESS:CIVIC GROUP TO PROMOTE REMEMBRANCE OF PEOPLE WHO DIED IN THE VIETNAM WAR
START DATE: 9/2017
POSITION/TITLE/RELATIONSHIP: PRESIDENT
APX NUMBER OF HOURS PER WEEK: 3
APX NUMBER OF HOURS DURING TRADING HOURS: 3
BRIEF DESCRIPTION OF DUTIES: NAME COMMITTEES, CONDUCT MEETINGS, AND PROMOTE THE ORGANZIATION
6. FALL RIVER REDEVELOPMENT AUTHORITY, NOT INVESTMENT RELATED, 100 CAMBRIDGE ST, SUITE 300, BOSTON, MA, 02114, CIVIC, STARTED 01/2020, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX 3 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MONITOR AND SUPPORT THE CITIES WATERFRONT COMMUNITY AND DOWNTOWN URBAN RENEWAL PLANS.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Allan Marshall's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 982 Eastern Ave, Fall River, MA 02723RIA
CRD#: 105644
FALL RIVER, MA
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 982 Eastern Ave, Fall River, MA 02723BD
CRD#: 10299
Fall River, MA
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
September 9, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
FALL RIVER, MA
Past
June 23, 2003 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
FALL RIVER, MA
Past
April 12, 1989 - May 9, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
June 9, 1982 - April 18, 1989
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(10/4/2016)
RR
Maine(1/5/2018)
RR
Massachusetts(10/3/2016)
IAR
Massachusetts(3/21/2024)
RR
New Hampshire(8/11/2025)
RR
North Carolina(10/3/2016)
RR
Rhode Island(10/3/2016)
RR
South Carolina(7/9/2018)
RR
Virginia(12/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Fall River, MA 02723TRUST BUT VERIFY
Monitor Joseph Marshall
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
