Joseph J. Borgese
Professional summary
Joseph John Borgese, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Gilbertsville, Pennsylvania and CETERA ADVISORS LLC located in Boyertown, Pennsylvania.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Joseph has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph John Borgese's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2021
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1723 Swamp Pike, Gilbertsville, PA 19525October 31, 2017 - Present
CETERA ADVISORS LLC
Office #1: 9 Rowell Rd, Boyertown, PA 19512Office #2: 1723 Swamp Pike, Gilbertsville, PA 19525October 31, 2017 - March 21, 2024
CETERA ADVISORS LLC
February 18, 2011 - November 2, 2017
NATIONAL PLANNING CORPORATION
January 4, 2011 - November 2, 2017
NATIONAL PLANNING CORPORATION
April 23, 2001 - January 5, 2011
ALLIANZ LIFE FINANCIAL SERVICES, LLC
February 1, 1997 - March 6, 2001
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
March 11, 1996 - January 7, 1997
HSBC BROKERAGE (USA) INC.
October 23, 1995 - November 3, 1995
OSAIC WEALTH, INC.
February 1, 1995 - September 1, 1995
FISERV INVESTOR SERVICES, INC.
March 2, 1994 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
October 8, 1993 - March 2, 1994
ESSEX NATIONAL SECURITIES, LLC
June 7, 1993 - October 6, 1993
INDEPENDENT FINANCIAL SECURITIES, INC.
July 21, 1992 - February 9, 1993
INVEST FINANCIAL CORPORATION
February 27, 1991 - May 15, 1992
INVEST FINANCIAL CORPORATION
July 19, 1990 - February 13, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 19, 1990 - February 13, 1991
PRUCO SECURITIES, LLC.
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
(1/2/2019)
(10/31/2017)
(10/31/2017)
(10/31/2017)
(10/31/2017)
(10/31/2017)
(10/31/2017)
(10/31/2017)
(10/31/2017)
(10/10/2018)
(10/31/2017)
(7/8/2020)
(10/31/2017)
(10/31/2017)
(10/31/2017)
(11/6/2017)
(10/31/2017)
(10/31/2017)
(3/21/2024)
(8/31/2018)
(3/16/2018)
(3/21/2024)
(3/31/2026)
(1/2/2019)
(7/8/2020)
Exams
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 |
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#: 105644Gilbertsville, PA 19525TRUST BUT VERIFY
Monitor Joseph Borgese
Get automatic monthly alerts on:
