Joanne De Palma
Professional summary
Joanne De Palma, CFP®, who also goes by Joanne Fraulo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Collinsville, Connecticut and CETERA WEALTH SERVICES, LLC located in Collinsville, Connecticut.
Joanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Joanne has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joanne De Palma's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1991
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 101 River Rd 2nd Fl, Collinsville, CT 06019April 16, 2015 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 101 River Rd 2nd Fl, Collinsville, CT 06019April 16, 2015 - June 29, 2023
CETERA WEALTH SERVICES, LLC
August 14, 2014 - January 30, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 30, 2014 - August 14, 2014
MARCUM FINANCIAL SERVICES LLC
May 16, 2014 - January 30, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 29, 2012 - December 31, 2013
ETC BROKERAGE SERVICES, LLC
May 8, 2012 - May 2, 2014
DIASTOLE WEALTH MANAGEMENT
February 7, 2001 - May 24, 2012
CETERA INVESTMENT ADVISERS LLC
November 17, 2000 - May 24, 2012
CETERA FINANCIAL SPECIALISTS LLC
March 30, 2000 - November 21, 2000
AVANTAX INVESTMENT SERVICES, INC.
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
(1/8/2018)
(4/16/2015)
(4/16/2015)
(6/29/2023)
(4/16/2015)
(1/8/2018)
(1/2/2019)
(4/16/2015)
(5/26/2015)
(5/26/2015)
(5/26/2015)
(1/23/2025)
(4/16/2015)
(4/17/2015)
(5/26/2015)
(1/6/2020)
(1/2/2019)
(1/2/2019)
(1/4/2024)
(1/8/2018)
(1/31/2018)
(5/26/2015)
(5/26/2015)
Exams
FINRA
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.
