JS
Joseph M. Schwan
CETERA INVESTMENT ADVISERS LLC
RONKONKOMA, NY 11779
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CRD#: 4359680
JS
Professional summary
Joseph Michael Schwan, who also goes by Joseph M Schwan, Joseph Schwan, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ronkonkoma, New York and CETERA WEALTH SERVICES, LLC located in Ronkonkoma, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph M Schwan | Joseph Schwan
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) ALLY PAYROLL CORP. POSITION: Shareholder NATURE: A payroll processing company. The company assists businesses with their payroll processing needs as well as filing quarterly and annual forms to various tax agencies INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/29/2023 ADDRESS: 329 Hawkins Ave, 2nd floor, Ronkonkoma NY 11779, United States DESCRIPTION: I have no duties tied to this entity- I am a silent partner 2) BARN ENTERPRISES, LLC POSITION: Member NATURE: Barn Enterprises, LLC owns a commercial building and land INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/21/2012 ADDRESS: 329 Hawkins Ave, Ronkonkoma NY 11779, United States DESCRIPTION: Collect rent, pay bills, maintain property 3) PREMIERE WEALTH MANAGEMENT, LLC POSITION: sole member NATURE: I will be offering investment, retirement, and financial services. Additionally, tax and estate tax planning services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 30 START DATE: 07/28/2023 ADDRESS: 329 Hawkins Ave, Ronkonkoma NY 11779, United States DESCRIPTION: Meet with clients Review investment performance Prepare estate tax plans Preparation of gift tax forms Trust document review 4) JOSEPH M. SCHWAN CPA PC POSITION: Director NATURE: Personal and business income tax return preparation. Preparation of Tax projections/ plans. Monthly bookkeeping for business clients INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 04/08/2004 ADDRESS: 329 Hawkins Ave, Ronkonkoma NY 11779, United States DESCRIPTION: Prepare personal tax returns Prepare business tax returns Prepare financial statements Prepare budgets and revue projections Meet with clients 5) S & P ASSOCIATES OF LI, INC. POSITION: partner NATURE: we will offer clients investment management services as well as retirement and estate planning services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 10/17/2024 ADDRESS: 329 Hawkins Ave, Ronkonkoma NY 11779, United States DESCRIPTION: manage investment portfolios, execute trades, monitor and rebalance mutual fund allocations.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Michael Schwan'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 329 Hawkins Ave, Ronkonkoma, NY 11779RIA
CRD#: 105644
RONKONKOMA, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 329 Hawkins Ave, Ronkonkoma, NY 11779BD
CRD#: 13572
Ronkonkoma, NY
Past
August 8, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Ronkonkoma, NY
Past
August 8, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Ronkonkoma, NY
Past
August 3, 2021 - August 20, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
DIX HILLS, NY
Past
February 4, 2011 - August 20, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
DIX HILLS, NY
Past
February 3, 2010 - October 4, 2010
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
BELLPORT, NY
Past
December 16, 2006 - December 15, 2008
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
LAKE RONKONKOMA, NY
Past
April 5, 2005 - November 1, 2006
OSAIC WEALTH, INC.
BD
CRD#: 23131
ISLANDIA, NY
Past
July 2, 2001 - February 16, 2005
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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
Delaware(9/18/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
Exams
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#: 105644Ronkonkoma, NY 11779TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
