Joseph Polanski

CETERA INVESTMENT ADVISERS LLC

Flowery Branch, GA 30542

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CRD#: 1099754

Professional summary

Joseph Polanski JR, AIF®, who also goes by Joseph Polanski, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Flowery Branch, Georgia and CETERA WEALTH SERVICES, LLC located in Gainesville, Georgia.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Joseph has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Polanski

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 REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2021; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS:1 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS HEALTH ; 2) NAME OF OTHER BUSINESS: PROSPERITY WEALTH ADVISORS ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 2/2021 ; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 40-50; APX NUMBER OF HOURS DURING TRADING HOURS:32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Polanski JR's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 27, 2015 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5970 Pocahontas Dr, Flowery Branch, GA 30542

RIA

CRD#: 105644

Flowery Branch, GA

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

GAINESVILLE, GA

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

April 12, 2016 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

Flowery Branch, GA

Past

September 16, 2015 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

FLOWERY BRANCH, GA

Past

September 21, 2007 - November 13, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

FLOWERY BRANCH, GA

Past

December 8, 2006 - September 29, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

FLOWERY BRANCH, GA

Past

July 16, 2004 - December 6, 2006

THOMAS GROUP CAPITAL

CRD#: 112901

ATLANTA, GA

Past

February 27, 2003 - July 27, 2004

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

ATLANTA, GA

Past

August 31, 1998 - July 27, 2004

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

October 26, 1995 - September 24, 1998

ARGENT SECURITIES, INC.

CRD#: 15297

ATLANTA, GA

Past

June 13, 1990 - October 31, 1995

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

September 27, 1988 - May 16, 1990

B C FINANCIAL CORPORATION

CRD#: 13460

Past

October 18, 1984 - October 21, 1988

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

Past

September 20, 1983 - July 30, 1984

DALEY & COMPANY

CRD#: 6282

Past

May 26, 1983 - September 30, 1983

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(9/20/2019)

Arizona
(9/20/2019)

California
(9/20/2019)

Colorado
(9/20/2019)

Florida
(9/23/2019)

IAR

Georgia
(10/27/2015)

Georgia
(9/20/2019)

Illinois
(9/20/2019)

Indiana
(9/20/2019)

Maryland
(9/20/2019)

Massachusetts
(9/20/2019)

Michigan
(9/20/2019)

Mississippi
(2/13/2025)

Nebraska
(9/20/2019)

Nevada
(9/20/2019)

New Jersey
(9/20/2019)

New York
(9/20/2019)

North Carolina
(9/20/2019)

Ohio
(9/6/2023)

South Carolina
(9/20/2019)

Tennessee
(9/20/2019)

Texas
(9/20/2019)

IAR

Texas
(6/29/2023)

Utah
(4/27/2023)

Washington
(9/20/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/24/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/9/1987

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Joseph Polanski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Polanski JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

THOMAS GROUP CAPITAL

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

ARGENT SECURITIES, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

B C FINANCIAL CORPORATION

BLINDER, ROBINSON & CO., INC.

DALEY & COMPANY

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2013

Series 63

Date: 6/24/1983

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1983

Series 24

Date: 9/9/1987

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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