JT
Joel L. Ty
CETERA ADVISORS LLC
North Royalton, OH 44133
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CRD#: 4169967
JT
Professional summary
Joel Llanes Ty is a registered financial professional currently at CETERA ADVISORS LLC located in North Royalton, Ohio.
Joel is registered as a RR (Registered Representative) and started their career in finance in 2000. Joel has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Joel Llanes Ty'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
July 18, 2007 - Present
CETERA ADVISORS LLC
Office #1: 5171 Wallings Rd Ste 130, North Royalton, OH 44133BD
CRD#: 10299
North Royalton, OH
Past
February 7, 2005 - December 31, 2006
LEGACY ADVISORY SERVICES, INC.
RIA
CRD#: 111027
WILLOUGHBY HILLS, OH
Past
February 1, 2005 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
NORTH ROYALTON, OH
Past
June 23, 2003 - January 31, 2005
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
WILLOUGHBY HILLS, OH
Past
June 20, 2003 - January 31, 2005
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
February 7, 2003 - July 2, 2003
LPL FINANCIAL LLC
RIA
CRD#: 6413
WILLOUGHBY HILLS, OH
Past
February 5, 2003 - July 2, 2003
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
June 26, 2002 - January 31, 2003
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
MINNEAPOLIS, MN
Past
May 5, 2000 - October 31, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 5, 2000 - October 31, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
California(2/1/2021)
RR
Ohio(7/18/2007)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES
CRD#: 10299 / SEC#: 801-33020, 8-26892
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
