JC
Joseph A. Carpenter
CETERA INVESTMENT ADVISERS LLC
Bonita Springs, FL
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CRD#: 2411429
JC
Professional summary
Joseph Anthony Carpenter is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bonita Springs, Florida and CETERA WEALTH SERVICES, LLC located in Johnstown, Pennsylvania.
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 4 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
1) C Revocable Trust Johnstown PA 15901 11/22/2006~2hrs~0hrs Admin of the Trust 2) JVC Rev Trust Johnstown PA 15901 2/3/2015~1hrs~0hrs Admin of the Trust 3) JC Rev Trust Johnstown PA 15901 1/1/2012 2hrs~0hrs Trustee for checking acct, Johns St. PA 5) AFLAC Johnstown PA 15901 Insurance Sales Agent 10/30/2000~1hrs~0hrs~sales 6) Carpenter Fin. Srv Johnstown PA 15901 Financial Advisor/Consultant 12/1/1993~0hrs~0hrs~Owner 7) Cincinnati Ins Co Johnstown PA Ins Sales Agent 2/3/2010~2hrs~2hrs~Sell life ins, FIA 8) Carpenter Financial Services, Inc. DBA Carpenter Johnstown PA 15901 Accounting President 12/1/2014~10hrs~0hrs~admin duties 9) Delaware Life Waltham MA 02451 Insurance Sales Agent 2/1/2016~1hrs~0hrs Sell FIA 10) Davevic Benefit Conslts Johnstown PA 15901 Ins Sales Agt 10/24/2000~1hrs~0hrs Sales medical plans 11) First Catholic Slovak Union Johnstown PA Insurance Sales Agent 11/17/2005~1hrs~0hrs~Sales 12) Greek Catholic Union Johnstown PA 15901 Ins Sales Agent 1/19/2012~5hrs~2hrs~Sell ins 13) Greater Beneficial Union of Pittsburgh 237 Johns St., Ste. 2 Johnstown PA 15901 Accountant/Bookkeeper ~9/16/2010~2hrs~1hrs~Sell FIA 14) Guggenheim LIfe & Annuity Co 401 Pennsylvania Parkway, Suite 300 Indianapolis IN 46280 Insurance Sales Agent~6/16/2014~1hrs~0hrs~Selling FIA 15) Home Builders Assoc of Alleh 237 Johns St., Ste. 2 Johnstown PA 15901 Director/Officer 6/21/2004 1hrs~0hrs~advise before the board. 16) ISDA Fraternal Assc 419 Wood Street Pittsburgh PA 15222 Ins Sales Agent 7/23/2015~1hrs~0hrs~Sell FIA17) JRG Advisors 700 Stonewood Drive, Suite 251 Wexford PA 15090 Ins Sales Agent 8/10/2013~0hrs~0hrs~Sell health ins 18) Kestler Financial Group 1602 Village Market Blvd. SE, Suite 430 Leesburg VA 20175; IBS Agent/Ins Sales; 6/1/2014~1hrs~0hrs~selling FIA19) National Guardian Life 237 Johns St., Ste. 2 Johnstown PA 15901 Independent Ins Agent Ins Sales Agent 2/8/2010~2hrs~2hrs~Sell ins 20) Pittsburgh Brkg Svcs, Inc.~Capitas 237 Johns St., Ste. 2 Johnstown PA 15901 Ins Sales Agent 4/18/2012 1hrs~0hrs~sell life, LTC 21) Pacific Life Ins Co 237 Johns St., Ste. 2~Johnstown PA 15901 Ins Agent 7/1/2003~1hrs~0hrs~Sell life ins 22) UPMC for Life US Steel Tower, 9th Floor, 600 Grant Street Pittsburgh PA 15219 Accounting/Bookkeeping~Insurance Sales ~10/1/14~2hrs~0hrs~Sell Medicare supplements 23) Underwriters Brkg Srvcs 237 Johns St., Ste. 2 Johnstown PA 15901 Insurance Sales Agent 1/1/2008~1hrs~0hrs~Sell ins 24) ISDA Fraternal Assoc Pittsburgh PA 15222 Board Position/Officer 7/1/2019~2hrs~0hrs Take roll, introduce speakers 25) SNF; Agent; Sell fixed annuities; ~NIR~; 1HR; 0HR; ST DT: 12/21/20 Pittsburgh PA Sell FIA 26) WESTVIEW CENTER LLC; Member; commercial building.; ~NIR~; 2HRS; 0HRS; ST DT: 01/01/20 Johnstown PA Property Mgmt 27) WESSEL & CO CPA'S; Referral only; ~NIR~; 1 HR; 0 HRS; ST DT: 03/01/20 Johnstown PA 15901; Referral for clients 28) IDU; Agent; Sell disability policy 1HR; 1HR; ST DT: 05/16/23; 1110 Brickwell Ave Ste 515, Miami FL 33131; Disability policy sales 29) PETERSEN INTERNATIONAL UNDERWRITERS; Agent; Sell IDU disability policies; ~NIR~; 1 HR ; HRS: 1; ST DT: 05/22/23; 23929 Valencia Blvd, 2nd Floor, Valencia CA 91355; Disability policy sales 30) ISDA FRATERNAL LODGE 214; President of the Board ; Non-profit 31) Fidelity & Guaranty Life Ins. Co; Agent; Agent; IR; 0; 11/13/2018; Baltimore, MD 21202; Sell FIA 32) CB Life; Agent; Agent; IR; IR; 0; 09/25/2018; 2327 Englert Drive Durham, NC 22713; Sell FIA 33) Athene Annuity; Agent; Agent; IR;HRS 0; 11/13/2018; 2000 Wade Hampton Blvd Greenville SC 29615; Sell FIA 34) Allegheny Angel Fund I LLC; Member; Help individuals and businesses NIR 0; 07/02/2019; 3 Sheraton Drive Altoona PA 16601; Attend meetings
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Carpenter'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
August 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 237 Johns Street Ste 3, Johnstown, PA 15901RIA
CRD#: 105644
Bonita Springs, FL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 237 Johns Street Ste 2, Johnstown, PA 15901BD
CRD#: 13572
JOHNSTOWN, PA
Past
August 29, 2012 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
JOHNSTOWN, PA
Past
December 22, 1993 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
JOHNSTOWN, PA
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
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
IAR
Florida(8/20/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Idaho(9/5/2025)
RR
Illinois(9/5/2025)
RR
Iowa(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Maryland(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
IAR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
RR
West Virginia(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law 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.
