JS
Joseph D. Schroen
CETERA INVESTMENT ADVISERS LLC
MILLSBORO, DE 19966
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CRD#: 3230352
JS
Professional summary
Joseph David Schroen, who also goes by J.d. Schroen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Millsboro, Delaware and CETERA ADVISORS LLC located in Millsboro, Delaware.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
J.d. Schroen
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) NAME OF OTHER BUSINESS: CFS TAX SOLUTIONS; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX & MEDICARE; START DATE: 7/2024; POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: OVERSEE STAFF, MANAGE KEY NOSINESS FUNCTIONS, COMPLETE TAX RETURNS, MEDICARE CONSULTING; (2) NAME OF OTHER BUSINESS: CFS INC., DBA COMPREHENSIVE FINANCIAL SOLUTIONS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 7/2016 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER BRIEF DESCRIPTION OF DUTIES: PRODUCING REP
CRS (Client Relationship Summary) - RIA
Click below to view Joseph David Schroen'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 28485 Dupont Blvd Bldg 2, Millsboro, DE 19966Office #2: 953 Mt Hermon Rd, Salisbury, MD 21804RIA
CRD#: 105644
MILLSBORO, DE
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 28485 Dupont Blvd Bldg 2, Millsboro, DE 19966Office #2: 953 Mt Hermon Rd, Salisbury, MD 21804BD
CRD#: 10299
MILLSBORO, DE
Past
January 28, 2008 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
SALISBURY, MD
Past
August 28, 2001 - January 1, 2004
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
June 7, 1999 - November 8, 1999
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, 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".
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
Alabama(9/6/2018)
RR
Arizona(6/11/2020)
RR
California(7/8/2014)
RR
Colorado(9/6/2018)
RR
Connecticut(9/6/2018)
RR
Delaware(1/1/2004)
IAR
Delaware(3/21/2024)
RR
Florida(7/15/2010)
RR
Georgia(1/23/2020)
RR
Iowa(11/26/2019)
RR
Maryland(1/1/2004)
IAR
Maryland(3/21/2024)
RR
Mississippi(8/14/2025)
RR
Missouri(4/15/2021)
RR
New Jersey(9/6/2018)
RR
New Mexico(9/6/2018)
RR
New York(9/6/2018)
RR
North Carolina(3/1/2011)
RR
Ohio(6/21/2021)
RR
Oklahoma(4/15/2024)
RR
Pennsylvania(9/6/2018)
RR
Rhode Island(9/6/2018)
RR
South Carolina(10/7/2019)
RR
Tennessee(9/6/2018)
RR
Texas(10/9/2015)
IAR
Texas(3/21/2024)
RR
Utah(11/16/2020)
RR
Vermont(9/6/2018)
RR
Virginia(1/1/2004)
RR
Washington(9/10/2018)
RR
West Virginia(1/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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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#: 105644Millsboro, DE 19966TRUST BUT VERIFY
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