JM
Joel D. Malick
CETERA INVESTMENT ADVISERS LLC
COLORADO SPRINGS, CO 80919
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CRD#: 4247438
JM
Professional summary
Joel David Malick, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado and CETERA WEALTH SERVICES, LLC located in Colorado Springs, Colorado.
Joel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joel has worked at 5 firms and has passed the Series 65, Series 63, 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.
1. AUTHOR/PODCASTER/SPEAKER POSITION: Owner NATURE: Author/Podcaster/Speaker INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 09/17/2019 ADDRESS: 1574 Oakmont Dr, Colorado Springs CO 80921, United States DESCRIPTION: Afterwork was re-released by Aspire Press on May 2nd, 2023. Our podcast was released on May 1st, 2023, and currently features one episode per month. Speaking engagements are not a frequent occurrence, maybe once per quarter. We do not address financial topics. The goal is to help people focus on the non-financial side of planning for a purposeful life afterwork. 2. NAME OF OTHER BUSINESS: CROSSFIRE MINISTRIES; INVESTMENT RELATED: NO; ADDRESS: 3975 N ACADEMY BLVD, COLORADO SPRINGS, CO 80917; NATURE OF BUSINESS: BOARD; START DATE: 9/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: RUN BOARD MEETINGS, LEAD STRATEGY DISCUSSION AND PRESENT FUTURE VISION AND DISCUSSION ITEMS FOR THE BOARD. HELP DEVELOP AND OVERSEE BUDGET PROCESS; 3. NAME OF OTHER BUSINESS: EVEROAK WEALTH CO; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 7/2020, POSITION/TITLE/RELATIONSHIP: OWNER/PARTNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: EVEROAK FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NON PROFIT; START DATE: 04/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: OVERSIGHT OF FOUNDATION ASSETS AND DETERMINING WHAT CAUSES, ORGANIZATIONS WILL GET CONTRIBUTIONS; 5. NAME OF OTHER BUSINESS: CENTER FOR STRATEGIC MINISTRY; INVESTMENT RELATED: NO; ADDRESS: 10807 NEW ALLEGIANCE DR. COLORADO SPRINGS, CO 80921; NATURE OF BUSINESS: NON PROFIT; START DATE: 2/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: .01; APX NUMBER OF HOURS DURING TRADING HOURS: .01; BRIEF DESCRIPTION OF DUTIES: ATTEND QUARTERLY MEETING AND PROVIDE GUIDANCE;
CRS (Client Relationship Summary) - RIA
Click below to view Joel David Malick'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®
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7222 Commerce Ctr Dr Ste 108, Colorado Springs, CO 80919RIA
CRD#: 105644
COLORADO SPRINGS, CO
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7222 Commerce Center Dr Suite 108, Colorado Springs, CO 80919BD
CRD#: 13572
Colorado Springs, CO
Past
March 15, 2007 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Colorado Springs, CO
Past
March 15, 2007 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Colorado Springs, CO
Past
October 13, 2004 - March 13, 2007
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
COLORADO SPRINGS, CO
Past
July 7, 2004 - March 13, 2007
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
COLORADO SPRINGS, CO
Past
March 19, 2001 - July 1, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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(8/10/2023)
RR
Alaska(2/28/2025)
RR
Arizona(8/10/2023)
RR
Arkansas(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
IAR
Colorado(8/10/2023)
RR
Delaware(8/10/2023)
RR
Florida(8/14/2023)
RR
Georgia(8/10/2023)
RR
Idaho(8/10/2023)
RR
Indiana(8/10/2023)
RR
Iowa(1/5/2024)
RR
Kansas(8/10/2023)
RR
Massachusetts(5/8/2025)
RR
Michigan(1/8/2025)
RR
Minnesota(8/10/2023)
RR
Missouri(8/10/2023)
RR
Nebraska(8/10/2023)
RR
Nevada(8/10/2023)
RR
New Jersey(8/10/2023)
RR
New Mexico(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
Ohio(8/10/2023)
RR
Oklahoma(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Carolina(8/10/2023)
RR
South Dakota(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Virginia(8/10/2023)
RR
Washington(8/10/2023)
RR
Wisconsin(8/10/2023)
RR
Wyoming(8/10/2023)
Exams
State Security Law Exam
State Security Law 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#: 105644Colorado Springs, CO 80919TRUST BUT VERIFY
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