Joseph A. Byers
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.
Joseph Alan Byers, who also goes by Joe Byers, Joseph Byers, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1998. Joseph had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - May 11, 2020
CETERA INVESTMENT ADVISERS LLC
January 10, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
January 10, 2013 - May 11, 2020
CETERA INVESTMENT SERVICES LLC
February 17, 2006 - January 11, 2013
INVESTMENT CENTERS OF AMERICA, INC.
February 9, 2006 - January 11, 2013
INVESTMENT CENTERS OF AMERICA, INC.
September 16, 2005 - January 27, 2006
QUESTAR CAPITAL CORPORATION
April 28, 2003 - September 1, 2005
INVEST FINANCIAL CORPORATION
April 16, 2003 - September 1, 2005
INVEST FINANCIAL CORPORATION
December 16, 1998 - April 15, 2003
VESTAX SECURITIES CORPORATION
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
Current 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 | ||
| 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.
