JK
Joseph C. Kean
CETERA INVESTMENT ADVISERS LLC
CLEVELAND, OH 44131
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CRD#: 4501282
JK
Professional summary
Joseph Charles Kean, AIF®, who also goes by Joseph C Kean, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cleveland, Ohio and CETERA WEALTH SERVICES, LLC located in Cleveland, Ohio.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Joseph has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph C Kean
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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 04/2014 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: VANTAGE FINANCIAL GROUP INC.; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/2018; POSITION/TITLE/RELATIONSHIP: REGIONAL DIRECTOR, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: BENTLEY PARK HOA; INVESTMENT RELATED: NO; ADDRESS: 2487 SETON DR AVON, OH 44011; NATURE OF BUSINESS: HOA BOARD; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: WORK WITH HOA MANAGEMENT CO AND HOMEOWNERS ON ISSUES REGARDING THE DEVELOPMENT;
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Charles Kean'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6200 Rockside Rd, Cleveland, OH 44131RIA
CRD#: 105644
CLEVELAND, OH
Current
April 28, 2014 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6200 Rockside Rd, Cleveland, OH 44131BD
CRD#: 13572
Cleveland, OH
Past
February 13, 2015 - January 6, 2022
VANTAGE FINANCIAL GROUP, INC.
RIA
CRD#: 105950
CLEVELAND, OH
Past
April 28, 2014 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BOARDMAN, OH
Past
November 13, 2009 - March 19, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CLEVELAND, OH
Past
November 13, 2009 - March 19, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CLEVELAND, OH
Past
September 8, 2004 - November 13, 2009
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
CLEVELAND, OH
Past
June 29, 2004 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
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(5/21/2014)
RR
Alaska(5/21/2014)
RR
Arizona(5/21/2014)
RR
Arkansas(5/21/2014)
RR
California(5/21/2014)
RR
Colorado(5/21/2014)
RR
Connecticut(5/21/2014)
RR
Delaware(5/21/2014)
RR
District of Columbia(5/21/2014)
RR
Florida(5/21/2014)
RR
Georgia(5/21/2014)
RR
Hawaii(5/21/2014)
RR
Idaho(5/21/2014)
RR
Illinois(5/21/2014)
RR
Indiana(5/21/2014)
RR
Iowa(5/21/2014)
RR
Kansas(5/21/2014)
RR
Kentucky(5/21/2014)
RR
Louisiana(5/21/2014)
RR
Maine(5/21/2014)
RR
Maryland(5/21/2014)
RR
Massachusetts(5/21/2014)
RR
Michigan(5/21/2014)
RR
Minnesota(5/21/2014)
RR
Mississippi(5/21/2014)
RR
Missouri(5/21/2014)
RR
Montana(5/21/2014)
RR
Nebraska(5/21/2014)
RR
Nevada(5/21/2014)
RR
New Hampshire(5/21/2014)
RR
New Jersey(5/21/2014)
RR
New Mexico(5/21/2014)
RR
New York(5/21/2014)
RR
North Carolina(5/28/2014)
RR
North Dakota(5/21/2014)
RR
Ohio(4/28/2014)
IAR
Ohio(6/29/2023)
RR
Oklahoma(5/21/2014)
RR
Oregon(5/21/2014)
RR
Pennsylvania(4/28/2014)
RR
Rhode Island(5/21/2014)
RR
South Carolina(5/21/2014)
RR
South Dakota(5/21/2014)
RR
Tennessee(5/21/2014)
RR
Texas(5/21/2014)
IAR
Texas(6/29/2023)
RR
Utah(5/21/2014)
RR
Vermont(5/21/2014)
RR
Virginia(5/21/2014)
RR
Washington(5/21/2014)
RR
West Virginia(5/21/2014)
RR
Wisconsin(5/21/2014)
RR
Wyoming(5/21/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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.
