Joseph R. Falisi

AMERITAS ADVISORY SERVICES

MATAWAN, NJ 07747

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CRD#: 1653900

Professional summary

Joseph R Falisi is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Matawan, New Jersey and AMERITAS INVESTMENT COMPANY, LLC located in Freehold, New Jersey.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Joseph has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 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.

INDEPENDENT FINANCIAL SOLUTIONS; SAME AS BRANCH; INV REL; LIFE INSURANCE SALES AND ANNUITIES; MANAGING DIRECTOR; 04/2015; HRS/MO=160; TRADING HRS/MO=120; RECRUIT, TRAIN AGENTS IN THE SELLING OF LIFE INSURANCE AND ANNUITIES * Mulberry Lane Advisors; same as branch; inv rel; sales fixed annuities and fixed life insurance, long term care and disability insurance, personalized social security claiming strategy and optimization report; Managing Member; start date=02/2016; hrs/mo=120; trading hrs/mo=120; contact prospects to sell fixed life insurance, annuities, LTC and disability, create Personalized Social Security Claiming Strategy and Optimization reports

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph R Falisi'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

November 1, 2021 - Present

AMERITAS ADVISORY SERVICES, LLC

Office #1: 750 Route 34 Ste 7, Matawan, NJ 07747

RIA

CRD#: 317245

MATAWAN, NJ

Current

April 16, 2015 - Present

AMERITAS INVESTMENT COMPANY, LLC

Office #2: 750 Route 34 Suite7, Matawan, NJ 07747

CRD#: 14869

Freehold, NJ

Past

June 23, 2015 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

MATAWAN, NJ

Past

January 28, 2014 - April 1, 2015

MML INVESTORS SERVICES, LLC

CRD#: 10409

EDISON, NJ

Past

December 23, 2013 - January 28, 2014

OSAIC FA, INC.

RIA

CRD#: 3978

MANALAPAN, NJ

Past

December 21, 2013 - January 28, 2014

OSAIC FA, INC.

CRD#: 3978

MANALAPAN, NJ

Past

December 11, 2002 - September 23, 2013

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

EDISON, NJ

Past

January 9, 2002 - September 23, 2013

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

EDISON, NJ

Past

June 5, 1995 - January 18, 2002

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

April 20, 1987 - July 17, 1995

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

April 20, 1987 - July 17, 1995

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 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

Florida
(6/8/2022)

New Jersey
(4/16/2015)

IAR

New Jersey
(11/1/2021)

New York
(5/5/2017)

Pennsylvania
(11/14/2024)

Virginia
(6/20/2022)

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: 6/12/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/22/1993

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: 7/9/2002

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 1/8/1988

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/17/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/16/2002

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/7/1997

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 Approved)

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Contact information

Main Address

5900 O Street, Lincoln, NE 68510

Mailing Address

Phone number

(800) 335-9858

Established

Firm type

Fiscal year end

# of Employees

560

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/19/2025)

AMERITAS INVESTMENT STRATEGIES WRAP BROCHURE (9/19/2025)

AMERITAS WEALTH PLATFORM (9/19/2025)

GALAXY WRAP FEE BROCHURE (9/19/2025)

GALAXY II WRAP FEE BROCHURE (9/19/2025)

CONSTELLATION WRAP FEE PROGRAM (9/19/2025)

Regulatory assets under management

Total Number of Accounts	41,501
AUM (Assets Under Management)	$ 11,506,548,514

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
07/23/2024	Cover Page	Report
07/27/2023	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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Advisor Monitoring

Firm Stability Insights

Joseph R. Falisi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph R Falisi's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

MML INVESTORS SERVICES, LLC

OSAIC FA, INC.

OSAIC FA, INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

1717 CAPITAL MANAGEMENT COMPANY

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

AMERITAS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/12/1997

Series 63

Date: 11/22/1993

SIE

Date: 10/1/2018

Series 7

Date: 7/9/2002

Series 22

Date: 1/8/1988

Series 6

Date: 4/17/1987

Series 24

Date: 8/16/2002

Series 26

Date: 3/7/1997

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AMERITAS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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