JD
Joseph Depalma
CETERA INVESTMENT ADVISERS LLC
Myrtle Beach, SC 29572
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CRD#: 4308749
JD
Professional summary
Joseph Depalma is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Myrtle Beach, South Carolina and CETERA WEALTH SERVICES, LLC located in Myrtle Beach, South Carolina.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 21 and Series 25 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. NAME OF OTHER BUSINESS: REGAL WEALTH ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE AND INVESTMENT PRODUCTS; START DATE: 06/2014; POSITION/TITLE/RELATIONSHIP: CLIENT RELATIONSHIP MANAGER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 16; BRIEF DESCRIPTION OF DUTIES: CLIENT RELATIONSHIP MANAGER; 2. NAME OF OTHER BUSINESS: ISLAND TIME CHARTERS, INC.; INVESTMENT RELATED: NO; ADDRESS: OCEANSIDE, NY 11572; NATURE OF BUSINESS: BOAT CHARTERS; START DATE: 09/2016; POSITION/TITLE/RELATIONSHIP: OWNER, OPERATOR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: CHARTER BOAT CAPTAIN; 3. NAME OF OTHER BUSINESS: J. DEPALMA LLC; INVESTMENT RELATED: NO; ADDRESS: OCEANSIDE, NY 11572; NATURE OF BUSINESS: INVESTMENT / OWN ONE PARCEL OF VACANT LAND IN THIS LLC. NOT RENTED; START DATE: 06/2005; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PASSIVE OWNER. NO ACTIVITY, VACANT LAND. NOT RENTAL PROPERTY; 4. NAME OF OTHER BUSINESS: ETERNAL DRIFT; INVESTMENT RELATED: NO; ADDRESS: OCEANSIDE, NY 11572; NATURE OF BUSINESS: PROVIDES A SERVICE OF SPREADING HUMAN ASHES AT SEA; START DATE: 06/2020; POSITION/TITLE/RELATIONSHIP: OWNER, OPERATOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: CAPTAIN OF THE VESSEL. ETERNAL DRIFT IS A DBA UNDER MY S CORP ISLAND TIME CHARTERS, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Depalma'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
February 15, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9776 Kings Road Suite B, Myrtle Beach, SC 29572RIA
CRD#: 105644
Myrtle Beach, SC
Current
February 15, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 9776 Kings Road, Suite B, Myrtle Beach, SC 29572BD
CRD#: 13572
Myrtle Beach, SC
Past
January 8, 2019 - February 20, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
MYRTLE BEACH, SC
Past
January 4, 2019 - February 20, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
MYRTLE BEACH, SC
Past
April 20, 2016 - January 17, 2019
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
FLORHAM PARK, NJ
Past
August 8, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
FLORHAM PARK, NJ
Past
July 1, 2013 - January 17, 2019
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
FLORHAM PARK, NJ
Past
December 1, 2008 - June 27, 2011
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
January 28, 2002 - April 1, 2009
BEAR WAGNER SPECIALISTS LLC
BD
CRD#: 32691
NEW YORK, NY
Past
October 1, 2000 - January 29, 2002
REDI GLOBAL TECHNOLOGIES LLC
BD
CRD#: 41924
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
New York(2/15/2024)
IAR
New York(2/15/2024)
RR
South Carolina(2/15/2024)
IAR
South Carolina(2/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 21
Date: 1/27/2000
NYSE Front Line Specialist ClerkGeneral Industry/Product Exam
RR
Series 25
Date: 9/14/1999
NYSE Trading Assistant ExaminationSRO 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
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.
