Joann Semeraro

CETERA INVESTMENT ADVISERS

MELVILLE, NY 11747

CRD#: 1488255

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Professional summary

Joann Semeraro, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Melville, New York and CETERA WEALTH SERVICES, LLC located in Melville, New York.

Joann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Joann has worked at 11 firms and has passed the Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joann Semeraro'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®

CFP^®

Certified Financial Planner

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1895 Walt Whitman Rd Ste 6, Melville, NY 11747

RIA

CRD#: 105644

MELVILLE, NY

Current

February 1, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1895 Walt Whitman Rd Ste 6, Melville, NY 11747

CRD#: 13572

MELVILLE, NY

Past

March 31, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

May 29, 1997 - February 1, 2019

NORTH RIDGE SECURITIES CORP.

CRD#: 27098

MELVILLE, NY

Past

September 18, 1996 - May 29, 1997

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

August 1, 1994 - September 18, 1996

CHEMICAL INVESTMENT SERVICES CORP.

CRD#: 36312

Past

May 27, 1993 - August 1, 1994

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

September 30, 1992 - May 28, 1993

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

December 11, 1990 - October 20, 1992

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

November 22, 1989 - December 7, 1990

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 22, 1989 - December 7, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

November 18, 1986 - August 12, 1989

GLOBAL CAPITAL SECURITIES, INC.

CRD#: 13358

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

California
(2/1/2019)

Florida
(2/2/2019)

Georgia
(2/1/2019)

Louisiana
(10/23/2025)

Nevada
(7/14/2022)

New Jersey
(5/26/2026)

New York
(2/1/2019)

IAR

New York
(6/29/2023)

North Carolina
(2/1/2019)

Ohio
(8/13/2019)

South Carolina
(2/1/2019)

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

Series 63

Date: 12/30/1986

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: 11/15/1986

General Securities Representative 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

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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Firm Stability Insights

Joann Semeraro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joann Semeraro's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

NORTH RIDGE SECURITIES CORP.

CHASE INVESTMENT SERVICES CORP.

CHEMICAL INVESTMENT SERVICES CORP.

IFMG SECURITIES, INC.

INVEST FINANCIAL CORPORATION

CAPITAL BROKERAGE CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

GLOBAL CAPITAL SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/30/1986

SIE

Date: 10/1/2018

Series 7

Date: 11/15/1986

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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