Joseph D. Neary

CETERA INVESTMENT ADVISERS LLC

SAN DIEGO, CA 92101

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CRD#: 2993505

Professional summary

Joseph Daniel Neary, who also goes by Joseph Daniel Neary Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA INVESTMENT SERVICES LLC located in San Diego, California.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 22 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 14, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Daniel Neary Jr

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Daniel Neary's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101Office #2: 655 W Broadway12th Fl, San Diego, CA 92101Office #3: 2301 Rosecrans Ave #5100, El Segundo, CA 90245Office #4: 1876 Woodhaven Drive, Henderson, NV 89074

RIA

CRD#: 105644

SAN DIEGO, CA

Current

November 24, 2014 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101Office #2: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 15340

SAN DIEGO, CA

Current

November 24, 2014 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101Office #2: 655 W Broadway 12th Fl, San Diego, CA 92101Office #3: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

SAN DIEGO, CA

Current

November 24, 2014 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101Office #2: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 10358

SAN DIEGO, CA

Current

November 24, 2014 - Present

CETERA ADVISORS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101Office #2: 655 W Broadway12th Fl, San Diego, CA 92101Office #3: 655 W Broadway12th Fl, San Diego, CA 92101

CRD#: 10299

SAN DIEGO, CA

Past

January 22, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

January 26, 2017 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

San Diego, CA

Past

January 26, 2017 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

November 24, 2014 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

New York, NY

Past

January 13, 2014 - October 24, 2014

REALTY CAPITAL SECURITIES, LLC

CRD#: 145454

NEW YORK, NY

Past

May 9, 2013 - January 2, 2014

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

NEW YORK, NY

Past

May 7, 2013 - January 2, 2014

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

January 31, 2013 - April 15, 2013

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

March 5, 2012 - April 15, 2013

OSAIC WEALTH, INC.

RIA

CRD#: 23131

NEW YORK, NY

Past

February 12, 2010 - April 15, 2013

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

February 12, 2010 - April 15, 2013

OSAIC WEALTH, INC.

CRD#: 23131

NEW YORK, NY

Past

February 12, 2010 - April 15, 2013

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

October 13, 2006 - May 18, 2010

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

August 29, 2005 - October 10, 2006

MMC SECURITIES LLC

CRD#: 103846

HOBOKEN, NJ

Past

August 18, 2004 - April 30, 2005

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

Past

August 7, 2003 - September 9, 2004

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

July 28, 2003 - September 9, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 1, 2002 - September 9, 2004

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 10, 2002 - August 15, 2005

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

November 8, 2000 - September 9, 2004

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

California
(9/28/2017)

IAR

California
(6/29/2023)

Nevada
(4/13/2023)

IAR

Nevada
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/2/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/7/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 12/16/2002

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/22/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Joseph D. Neary

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Daniel Neary's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX INVESTMENT SERVICES, INC.

SUMMIT BROKERAGE SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

REALTY CAPITAL SECURITIES, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

WOODBURY FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC WEALTH, INC.

FSC SECURITIES CORPORATION

COREBRIDGE CAPITAL SERVICES, INC.

MMC SECURITIES LLC

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/2/2012

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/7/2000

Series 14

Date: 1/2/2023

Series 53

Date: 12/16/2002

Series 24

Date: 11/22/2000

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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