Joseph Dipasquale

CETERA INVESTMENT ADVISERS

GLASTONBURY, CT 06033

Some features on this profile are disabled

CRD#: 4527797

Professional summary

Joseph Dipasquale, who also goes by Joe Dipasquale, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Glastonbury, Connecticut and CETERA WEALTH SERVICES, LLC located in Glastonbury, Connecticut.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Joseph has worked at 13 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Dipasquale

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Dipasquale's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 140 Hebron Ave Suite 100, Glastonbury, CT 06033

RIA

CRD#: 105644

GLASTONBURY, CT

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 140 Hebron Ave Suite 100, Glastonbury, CT 06033

CRD#: 13572

Glastonbury, CT

Past

December 5, 2023 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Glastonbury, CT

Past

December 5, 2023 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Glastonbury, CT

Past

March 21, 2023 - December 11, 2023

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

Glastonbury, CT

Past

July 26, 2021 - December 11, 2023

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

Glastonbury, CT

Past

June 21, 2016 - March 5, 2020

SYMETRA SECURITIES, INC.

CRD#: 739

WALTHAM, MA

Past

January 3, 2013 - May 31, 2016

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

June 1, 2012 - January 3, 2013

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

SIMSBURY, CT

Past

April 1, 2006 - May 10, 2012

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

BLOOMFIELD, CT

Past

December 7, 2004 - April 1, 2006

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

December 12, 2002 - January 3, 2005

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

August 12, 2002 - September 17, 2002

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

August 12, 2002 - September 17, 2002

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Connecticut
(9/5/2025)

IAR

Connecticut
(9/5/2025)

Florida
(9/5/2025)

Massachusetts
(9/5/2025)

New York
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/9/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/24/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/9/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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.

Similar Advisors

Richard Rake

FINANCIAL RESOURCES GROUP, LLC

IAR

GLASTONBURY, CT

Samuel Kaplowitz

BREACHWAY INVESTMENTS, LLC

IAR

West Hartford, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph Dipasquale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Dipasquale's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

SYMETRA SECURITIES, INC.

PRUCO SECURITIES, LLC.

HIMCO DISTRIBUTION SERVICES COMPANY

METLIFE INVESTORS DISTRIBUTION COMPANY

TOWER SQUARE SECURITIES, INC.

PARK AVENUE SECURITIES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/2002

Series 7TO

Date: 2/24/2022

SIE

Date: 10/1/2018

Series 6

Date: 8/9/2002

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors