Robert J. Joseph

CETERA INVESTMENT ADVISERS LLC

SANTA FE, NM

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CRD#: 1547850

Professional summary

Robert James Joseph is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Santa Fe, New Mexico and CETERA INVESTMENT SERVICES LLC located in Santa Fe, New Mexico.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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.) SENIOR VICE PRES. AT ENTERPRISE BANK & TRUST OUTSIDE FEE BASED ASSET MANAGEMENT FOR ENTERPRISE BANK & TRUST AFFILIATION THROUGH FIDELITY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Joseph'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®

None

Experience

Current

May 19, 2017 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SANTA FE, NM

Current

May 19, 2017 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1602 Villa Strada, Santa Fe, NM 87506

CRD#: 15340

SANTA FE, NM

Past

September 24, 2010 - May 23, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

SANTA FE, NM

Past

September 14, 2010 - May 23, 2017

LPL FINANCIAL LLC

CRD#: 6413

SANTA FE, NM

Past

December 2, 2008 - August 17, 2010

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

ALBUQUERQUE, NM

Past

November 7, 2008 - August 17, 2010

NYLIFE SECURITIES LLC

CRD#: 5167

ALBUQUERQUE, NM

Past

July 20, 2006 - October 13, 2008

WADDELL & REED

RIA

CRD#: 866

ALBUQUERQUE, NM

Past

May 16, 2006 - October 13, 2008

WADDELL & REED

CRD#: 866

ALBUQUERQUE, NM

Past

October 24, 1995 - May 15, 2006

OSAIC WEALTH, INC.

CRD#: 23131

LOS ALAMOS, NM

Past

January 10, 1989 - October 23, 1995

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

Past

October 27, 1988 - December 22, 1988

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

October 31, 1987 - October 31, 1988

AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.

CRD#: 148

Past

September 22, 1986 - October 23, 1995

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

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

Arizona
(5/19/2017)

California
(5/19/2017)

Colorado
(5/19/2017)

Florida
(5/19/2017)

Hawaii
(5/19/2017)

Illinois
(5/19/2017)

Kansas
(9/10/2020)

Louisiana
(5/19/2017)

Michigan
(5/19/2017)

Missouri
(9/10/2020)

Nevada
(5/19/2017)

New Mexico
(5/19/2017)

IAR

New Mexico
(5/22/2017)

New York
(5/19/2017)

North Dakota
(5/19/2017)

Oregon
(5/19/2017)

Pennsylvania
(5/19/2017)

Texas
(5/19/2017)

IAR

Texas
(1/12/2023)

Vermont
(2/5/2024)

Virginia
(5/19/2017)

Washington
(5/19/2017)

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: 7/12/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/2/1986

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: 4/27/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/20/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/2007

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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Robert J. Joseph

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Joseph's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

WADDELL & REED

WADDELL & REED

OSAIC WEALTH, INC.

ADVANTAGE CAPITAL CORPORATION

SENTRA SECURITIES CORPORATION

AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.

ADVANTAGE CAPITAL CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/12/2006

Series 63

Date: 9/2/1986

SIE

Date: 10/1/2018

Series 7

Date: 4/27/2007

Series 6

Date: 9/20/1986

Series 24

Date: 10/12/2007

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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