Joseph S. Vita

CETERA INVESTMENT ADVISERS LLC

STONEHAM, MA 02180

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CRD#: 455078

Professional summary

Joseph Stephen Vita, AIF®, who also goes by Joe VIta, Joseph Stephen Vita, Joseph Steven Vita, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Stoneham, Massachusetts and CETERA WEALTH SERVICES, LLC located in Stoneham, Massachusetts.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Joseph has worked at 11 firms and has passed the Series 63, Series 66, SIE, Series 55, Series 41, Series 000, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Vita | Joseph Stephen Vita | Joseph Steven Vita

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 POSITION/TITLE/RELATIONSHIP: AGENT APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE; 2. NAME OF OTHER BUSINESS: WINCHESTER FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INVESTMENT FINANCIAL PLANNING AND INSURANCE START DATE: 5/2022 POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: REGISTERED REPRESENTATIVE AND INVESTMENT ADVISOR REPRESENTATIVE OFFERING INVESTMENTS, FINANCIAL PLANNING AND INSURANCE;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Stephen Vita'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 91 Montvale Ave, Stoneham, MA 02180

RIA

CRD#: 105644

STONEHAM, MA

Current

May 26, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 91 Montvale Ave, Stoneham, MA 02180

CRD#: 13572

Stoneham, MA

Past

June 1, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

November 29, 2017 - April 17, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

WOBURN, MA

Past

November 29, 2017 - July 31, 2018

LPL FINANCIAL LLC

CRD#: 6413

WOBURN, MA

Past

July 5, 2016 - April 29, 2022

TRILOGY CAPITAL, INC.

RIA

CRD#: 281597

Woburn, MA

Past

March 24, 2011 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

WOBURN, MA

Past

December 13, 2010 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

WOBURN, MA

Past

September 26, 2002 - January 25, 2010

JONESTRADING

CRD#: 6888

BOSTON, MA

Past

October 4, 1999 - July 31, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

March 7, 1977 - August 25, 1999

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

June 22, 1976 - April 4, 1977

DRESDNER SECURITIES (USA) INC.

CRD#: 1993

Past

July 5, 1974 - November 8, 1975

JSC SECURITIES, INC.

CRD#: 475

Past

June 23, 1969 - June 15, 1974

CANTELLA & CO INC

CRD#: 1000001

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

Colorado
(6/6/2022)

Florida
(5/28/2024)

Massachusetts
(6/1/2022)

IAR

Massachusetts
(6/29/2023)

New Hampshire
(6/3/2022)

New York
(9/30/2022)

Vermont
(10/3/2022)

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: 9/30/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/15/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/7/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 41

Date: 10/6/1978

NYSE Allied Member Examination

General Industry/Product Exam

Series 000

Date: 6/17/1969

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 6/9/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 9/23/1978

Registered Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

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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)

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
11/18/2022	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.

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Advisor Monitoring

Firm Stability Insights

Joseph S. Vita

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TRILOGY CAPITAL, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

JONESTRADING

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CANACCORD GENUITY LLC

DRESDNER SECURITIES (USA) INC.

JSC SECURITIES, INC.

CANTELLA & CO INC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/30/2022

Series 66

Date: 3/15/2011

SIE

Date: 7/31/2018

Series 55

Date: 3/7/2000

Series 41

Date: 10/6/1978

Series 000

Date: 6/17/1969

Series 1

Date: 6/9/1969

Series 40

Date: 9/23/1978

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

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