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JL

Joanne M. Laut

CETERA INVESTMENT ADVISERS LLC
STONEHAM, MA 02180
Some features on this profile are disabled
CRD#: 1576881
JL

Professional summary

Joanne Mary Laut, who also goes by Joanne Mary Tabbussi, Joanne Mary Tabussi, Joanne Tabussi, Joanne Mary Tabussilaut, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Stoneham, Massachusetts and CETERA WEALTH SERVICES, LLC located in Stoneham, Massachusetts.

Joanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Joanne has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 24, Series 9, Series 10, Series 53, Series 4 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joanne Mary Tabbussi | Joanne Mary Tabussi | Joanne Tabussi | Joanne Mary Tabussilaut

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. WINCHESTER FINANCIAL GROUP LLC, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR SECURITIES BUSINESS, START 11/2007, 25HRS/WK (TRADING HOURS), OSJ SUPERVISORY DUTIES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joanne Mary Laut'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

July 3, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 91 Montvale Ave, Stoneham, MA 02180
RIA
CRD#: 105644
STONEHAM, MA
Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 91 Montvale Ave, Stoneham, MA 02180
BD
CRD#: 13572
Stoneham, MA
Past

December 6, 2007 - September 3, 2013

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
STONEHAM, MA
Past

April 11, 2002 - September 17, 2007

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA
Past

February 26, 1996 - July 21, 2000

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

October 28, 1986 - February 29, 1996

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

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
Massachusetts
(9/3/2013)
IAR
Massachusetts
(7/3/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/7/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/17/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/13/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/5/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/12/2008
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/7/1989
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/7/1989
General Securities Sales Supervisor Examination (Options Module & General Module)
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Stoneham, MA 02180

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