JT
Joseph F. Thompson
CETERA INVESTMENT ADVISERS LLC
ST LOUIS, MO 63131
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CRD#: 2411341
JT
Professional summary
Joseph Frederick Thompson JR, who also goes by Joseph Frederick Jr Thompson, Joseph Fredrick Thompson Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Louis, Missouri and CETERA WEALTH SERVICES, LLC located in St Louis, Missouri.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Frederick Jr Thompson | Joseph Fredrick Thompson Jr
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) INDEPENDENT INSURANCE, INVESTMENT RELATED, THROUGH THOMPSON FINANCIAL (FROM HOME ADDRESS)0HR/WK DURING SECURITIES TRADING HOURS & 1HR/WKND & EVENINGS SINCE 07/1993 (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE:02/2020 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE (3) NAME OF OTHER BUSINESS: MEMORIAL PRESBYTERIAN CHURCH INVESTMENT RELATED: NO, ADDRESS: 201 S SKINKER, ST LOUIS, MO, 63105 NATURE OF BUSINESS: RELIGIOUS START DATE: 10/2019 POSITION/TITLE/RELATIONSHIP: RULING ELDER APX NUMBER OF HOURS PER WEEK: 4 NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SPIRITUAL CARE FOR MEMBERS OF CONGREGATION
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Frederick Thompson JR's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 11600 Manchester Rd Ste 100, St Louis, MO 63131RIA
CRD#: 105644
ST LOUIS, MO
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ST LOUIS, MO
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 23, 2010 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
ST LOUIS, MO
Past
February 22, 2010 - January 12, 2021
PARAMOUNT FINANCIAL LLC
RIA
CRD#: 113500
ST. LOUIS, MO
Past
March 13, 1997 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
ST LOUIS, MO
Past
November 17, 1995 - March 17, 1997
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
October 29, 1993 - November 8, 1995
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
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
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Florida(9/3/2013)
RR
Illinois(9/3/2013)
RR
Indiana(1/7/2020)
RR
Kentucky(3/23/2021)
RR
Missouri(9/3/2013)
IAR
Missouri(6/29/2023)
RR
North Carolina(1/4/2017)
RR
Texas(1/5/2021)
IAR
Texas(6/29/2023)
RR
Virginia(7/3/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644St Louis, MO 63131TRUST BUT VERIFY
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