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JB

Joel T. Bennett

CETERA INVESTMENT ADVISERS
CLIFTON PARK, NY 12065
Some features on this profile are disabled
CRD#: 4186733
JB

Professional summary

Joel Timothy Bennett is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Clifton Park, New York and CETERA FINANCIAL SPECIALISTS LLC located in Clifton Park, New York.

Joel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Joel has worked at 16 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Timothy Bennett'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

January 5, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1593 Rt 9, Clifton Park, NY 12065
RIA
CRD#: 105644
CLIFTON PARK, NY
Current

October 6, 2025 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 1593 Rt 9, Clifton Park, NY 12065
BD
CRD#: 10358
Clifton Park, NY
Past

March 5, 2024 - April 23, 2025

CURI CAPITAL, LLC

RIA
CRD#: 134249
St. Joseph, MI
Past

February 14, 2023 - December 1, 2023

ELEVATION POINT WEALTH PARTNERS, LLC

RIA
CRD#: 137068
Galesburg, MI
Past

August 27, 2020 - June 1, 2021

Q3 ASSET MANAGEMENT CORPORATION

RIA
CRD#: 137839
Galesburg, MI
Past

August 20, 2018 - January 16, 2019

SMARTX ADVISORY SOLUTIONS

RIA
CRD#: 297680
Sausalito, CA
Past

May 25, 2018 - December 31, 2019

SMARTX ADVISORY SOLUTIONS

RIA
CRD#: 167966
San Francisco, CA
Past

February 2, 2016 - April 24, 2018

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 126052
SAN RAFAEL, CA
Past

April 27, 2011 - February 27, 2012

RP CAPITAL LLC

BD
CRD#: 134768
GIG HARBOR, WA
Past

April 16, 2008 - April 29, 2009

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

April 8, 2008 - April 29, 2009

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
SCHAUMBURG, IL
Past

April 1, 2008 - April 22, 2008

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
CHICAGO, IL
Past

May 6, 2005 - April 1, 2008

ASSETMARK CAPITAL CORPORATION

BD
CRD#: 37583
CHICAGO, IL
Past

October 14, 2004 - May 9, 2005

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
CHICAGO, IL
Past

October 14, 2004 - May 9, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

August 27, 2001 - June 4, 2004

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA
CRD#: 108958
OAK BROOK, IL
Past

June 5, 2001 - June 2, 2004

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
BALTIMORE, MD
Past

June 14, 2000 - February 23, 2001

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 14, 2000 - February 23, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
New York
(1/5/2026)
IAR
New York
(1/5/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/27/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/2/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/13/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/6/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/13/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/13/2000
General Securities Representative Examination
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Clifton Park, NY 12065

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