JC
Joseph A. Coleman
CETERA INVESTMENT ADVISERS LLC
Saint Louis, MO 63128
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CRD#: 2811671
JC
Professional summary
Joseph Aloysius Coleman, who also goes by Joe Coleman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Saint Louis, Missouri and CETERA ADVISORS LLC located in Saint Louis, Missouri.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Joseph has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Coleman
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.) FLORIS B HEMKER PRIVATE FOUNDATION; TRUSTEE; START DATE:9/28/2008 2.) JOSEPH FINANCIAL, LLC; SOLE PROPRIETOR; INSURANCE; START DATE:6/3/2008 3.) HOPE VINEYARD CHURCH; VOLUNTEER BOARD MEMBER; NON-PROFIT ORGANIZATION; START DATE: 4/1/2015; 20 HOURS PER MONTH. 4.) JOHN L & DOROTHY M COLEMAN TRUST; TRUSTEE; FIDUCIARY POSITION; START DATE: 07/01/2018; 16 HOURS PER MONTH. 5) NAME OF OTHER BUSINESS: WINCHESTER PLACE; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: ASSOCIATION BOARD; START DATE: 01/2023; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: ENFORCE RULES, PROVIDE VISION AND LEADERSHIP FOR BEAUTIFICATION AND CAPITAL IMPROVEMENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Aloysius Coleman'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5000 Cedar Plaza Parkway Suite 380, Saint Louis, MO 63128RIA
CRD#: 105644
Saint Louis, MO
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 5000 Cedar Plaza Parkway Suite 380, Saint Louis, MO 63128BD
CRD#: 10299
Saint Louis, MO
Past
August 17, 2015 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
ST. LOUIS, MO
Past
May 30, 2008 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
ST LOUIS, MO
Past
August 4, 1998 - May 30, 2008
FFP SECURITIES, INC.
BD
CRD#: 16337
ST. LOUIS, MO
Past
December 3, 1996 - July 8, 1998
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(3/6/2024)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Illinois(9/8/2022)
RR
Kansas(9/8/2022)
IAR
Missouri(11/12/2020)
RR
Missouri(9/8/2022)
RR
New York(9/8/2022)
RR
Oregon(9/8/2022)
RR
South Carolina(9/8/2022)
RR
South Dakota(6/26/2025)
RR
Tennessee(9/8/2022)
RR
Washington(9/8/2022)
RR
Wisconsin(9/8/2022)
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.
