Jose Pires
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jose Pires, who also goes by Joe Pires Jr, Jose Pires Jr, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1995. Jose had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 52, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2024 - April 27, 2026
CETERA INVESTMENT ADVISERS LLC
July 3, 2013 - March 21, 2024
CETERA ADVISORS LLC
July 2, 2013 - April 27, 2026
CETERA ADVISORS LLC
November 4, 2011 - July 1, 2013
CL WEALTH MANAGEMENT LLC
October 3, 2011 - July 1, 2013
ALLIED BEACON PARTNERS, INC.
November 6, 2006 - September 30, 2011
WORKMAN SECURITIES CORPORATION
October 19, 2006 - September 30, 2011
WORKMAN SECURITIES CORPORATION
January 14, 2003 - October 23, 2006
VOYA FINANCIAL ADVISORS, INC.
December 2, 2002 - October 23, 2006
VOYA FINANCIAL ADVISORS, INC.
March 13, 2001 - December 9, 2002
WOODBURY FINANCIAL SERVICES, INC.
March 13, 2001 - December 9, 2002
WOODBURY FINANCIAL SERVICES, INC.
July 18, 1997 - March 15, 2001
VOYA FINANCIAL ADVISORS, INC.
September 29, 1995 - July 22, 1997
HOCHMAN & BAKER SECURITIES, INC.
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
Exams
Series 62
Date: 9/4/1997
Corporate Securities Limited Representative ExaminationCurrent 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.
