Joseph D. Evans
Professional summary
Joseph David Evans, who also goes by Joe Evans, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Citrus Heights, California and CETERA WEALTH SERVICES, LLC located in Citrus Heights, California.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Joseph has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph David Evans's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 22, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
January 21, 2025 - Present
CETERA WEALTH SERVICES, LLC
June 25, 2020 - January 22, 2025
D.A. DAVIDSON & CO.
June 25, 2020 - January 22, 2025
D.A. DAVIDSON & CO.
August 28, 2015 - June 30, 2020
MORGAN STANLEY
August 28, 2015 - June 30, 2020
MORGAN STANLEY
November 24, 1997 - September 3, 2015
WELLS FARGO CLEARING SERVICES, LLC
September 12, 1997 - September 3, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1993 - September 19, 1997
CITIGROUP GLOBAL MARKETS INC.
April 16, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
January 24, 1989 - April 22, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/28/2025)
(1/22/2025)
(1/22/2025)
(1/22/2025)
(1/22/2025)
(1/22/2025)
(1/23/2025)
(6/9/2025)
(1/30/2025)
(1/21/2025)
(1/23/2025)
(1/24/2025)
(1/23/2025)
(2/24/2025)
(2/24/2025)
Exams
Series 8
Date: 3/23/1999
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
