Joseph J. Marshall
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph James Marshall JR., who also goes by Joe Marshall, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2014 - October 10, 2018
CETERA INVESTMENT ADVISERS LLC
February 11, 2014 - October 10, 2018
CETERA INVESTMENT SERVICES LLC
March 3, 2009 - February 13, 2014
LPL FINANCIAL LLC
March 3, 2009 - February 13, 2014
LPL FINANCIAL LLC
July 9, 2007 - March 10, 2009
INVEST FINANCIAL CORPORATION
December 1, 2006 - March 10, 2009
INVEST FINANCIAL CORPORATION
February 9, 2005 - November 2, 2006
PNC WEALTH MANAGEMENT LLC
February 9, 2005 - November 2, 2006
PNC WEALTH MANAGEMENT LLC
January 8, 2004 - September 1, 2004
ALLIANCEBERNSTEIN INVESTMENTS, INC.
January 7, 2003 - November 5, 2003
THE INVESTMENT CENTER, INC.
January 7, 2003 - November 5, 2003
THE INVESTMENT CENTER, INC.
August 28, 2002 - December 6, 2002
QUICK & REILLY, INC.
April 25, 2001 - December 6, 2002
QUICK & REILLY, INC.
October 4, 2000 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, 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
Exams
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.
