JM
Joanne M. Morton
CETERA INVESTMENT ADVISERS LLC
WATERFORD, CT 06385
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CRD#: 2665938
JM
Professional summary
Joanne Mckean Morton, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Waterford, Connecticut and CETERA WEALTH SERVICES, LLC located in Waterford, Connecticut.
Joanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Joanne has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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)TWO-FAMILY RENTAL PROPERTY POSITION: Owner/Landlord NATURE: Rental Property Owner/Management INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 05/01/1989 ADDRESS: 19 Twin Lakes Drive, Waterford CT 06385, United States DESCRIPTION: Check on property, see if anything needs to be fixed or replaced. Deal with any problems with tenants. Meet contractors there if work needs to be done to maintain property. I deposit rent checks and pay rental expenses after trading hours. 2)"Power of Attorney for my Husband; Spouse & Caregiver; My husband is 13 years older than me. He is now 83. Michael has survived [REDACTED], most recently, he is in remission from [REDACTED]. He suffers from [REDACTED], has [REDACTED] in his wrists and knees. Thankfully, he remains mentally sharp. But I have always handled our investments and our taxes. Until about 10 years ago, Michael handled bill paying, checkbook balancing, and records maintenance, but he has since handed that over to me. My POA is on file in the Yale New Haven Hospital System, enabling me to communicate with doctors, especially since M is [REDACTED]. I make and accompany him to numerous doctor and dental appointments and together we make medical decisions. When we had our wills redone at the end of 2016, we also executed Durable POAs each granting the other a Power of Attorney with no restrictions to handle any and all his affairs. We also executed Health Care Directives. Michael signed his Power of Attorney, designating me, Joanne Morton, his spouse, as his POA on 12/19/2016. And, I signed my POA giving him unrestricted authority to handle any and all his affairs. I never thought of this as an ""Outside Business Activity,"" because I have never seen ""Power of Attorney"" stated in the Annual Compliance Questionnaire."" ; NIR; 4; 12/19/2016; 19 Twin Lakes Dr Waterford CT 06385; As my husband's POA, my top 5 responsibilities are: Making sure he gets the best medical care - often messaging his doctors with follow-up questions, making sure his medications are correctly dispensed, arranging and taking him to appointments, and most recently to our local hospital for a [REDACTED] on his [REDACTED] to alleviate the excruciating pain when the Kenalog injections no longer worked. Household bill paying, check register balancing (we are old school), record-keeping. Managing all cash flow Managing all investments-his, ours, and mine Managing all tax reporting and payments" 3)Morton & Assoc/Sole Proprietor; Tax Preparation/Tax Planning; Tax Preparation and Tax Planning. With regard to the Tax Preparation side of my business, it is almost exclusively individual tax preparation. Schedule Cs aside, I only prepare 2 partnership returns and about 3 ongoing trust tax returns. All Tax Planning is for individuals only. I do not provide any accounting services.; NIR; 130; 12/15/1985; 19 Waterford CT 06385-4141; I own 100% of Morton & Associates and produce all the work.
CRS (Client Relationship Summary) - RIA
Click below to view Joanne Mckean Morton'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®
CFP®
Start date: 2003
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 19 Twin Lakes Dr., Waterford, CT 06385RIA
CRD#: 105644
WATERFORD, CT
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
WATERFORD, CT
Past
September 11, 1996 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
WATERFORD, CT
Past
January 15, 1996 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WATERFORD, CT
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(9/5/2025)
RR
Connecticut(9/5/2025)
IAR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Maine(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Michigan(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
South Carolina(9/16/2025)
RR
Tennessee(9/5/2025)
RR
Vermont(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Waterford, CT 06385TRUST BUT VERIFY
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