JA
Joseph V. Ambrosia
CETERA INVESTMENT ADVISERS LLC
ELIZABETH, IL 61028
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CRD#: 2646777
JA
Professional summary
Joseph Vincent Ambrosia is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Elizabeth, Illinois and CETERA WEALTH SERVICES, LLC located in Elizabeth, Illinois.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. 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) St Mary Catholic Church; 112 E Washington St, Elizabeth, IL 61028; Other; 7/1/2019; 1hrs; 0hrs; Attend 1/4ly meetings to monitor budget. Establish annual budget. Approve major expenses of church w/ other committee members. 2) ECONOMIC DEVELOPMENT COMMITTEE; POSITION: Member NATURE: Promote the economic development of the Elizabeth IL area. Attend area meetings and promote the Village of Elizabeth. Greet new businesses and provide information to those looking to locate here. INVESTMENT RELATED: No; 4; 0; 01/01/2022; 200 E. Myrtle St., P.O. Box 236, Elizabeth IL 61028, We are a village of approx. 750 residents. I attend an annual meeting and a couple county economic development board meetings each year. Assist mayor in welcoming new businesses to area. Provide as a contact person to provide answers to prospective businesses. 3) ELIZABETH AREA CHAMBER OF COMMERCE; POSITION: Member NATURE: Member of Elizabeth Area Chamber of Commerce, a 501c3 organization. Attend monthly meetings when I am available. Assist with events when I can. INVESTMENT RELATED: No; 1; 0; 01/01/2022; P.O. Box 371, Elizabeth IL 61028, Assist with events when I can. Normal role is as a contact for the Village of Elizabeth Economic Development Committee to provide updates/progress as they develop. 4) ELIZABETH COMMUNITY FAIR; POSITION: Board Member NATURE: Assist in helping set up and promote annual community fair event. INVESTMENT RELATED: No; 1; 0; 01/01/2022; 111 East Myrtle ST, Elizabeth IL 61028, Erect/take down tents, clean grounds, etc. Attend monthly meetings to determine types of entertainment to sponsor at annual fair. 5) RENTAL HOUSE; POSITION: Owner/landlord NATURE: Personal residence that I rent to individuals. Single family home on a month-to-month rental. Simple rental agreement w/ utilities paid by tenants. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2011; ADDRESS: 2633 S. Becker Rd, Elizabeth IL 61028: Owner/landlord. Responsible for major maintenance items as well as insurance/taxes/etc. Tenants pay all utilities and maintain yard/lawns. Month-to-month rental agreement, no lease
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Vincent Ambrosia'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2601 S. Becker Rd, Elizabeth, IL 61028RIA
CRD#: 105644
ELIZABETH, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ELIZABETH, IL
Past
January 13, 2017 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Elizabeth, IL
Past
October 19, 1995 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ELIZABETH, IL
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
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Illinois(9/5/2025)
IAR
Illinois(9/5/2025)
RR
Iowa(9/5/2025)
RR
Missouri(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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Elizabeth, IL 61028TRUST BUT VERIFY
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