Joseph J. Montalbano
CETERA INVESTMENT ADVISERS LLC
wallkill, NY
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CRD#: 4675694
Professional summary
Joseph James Montalbano, CFP®, who also goes by Joseph Montalbano, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wallkill, New York and CETERA ADVISORS LLC located in Wallkill, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joseph has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Montalbano
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) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START11/02/2012, 20 HRS/WEEK, VARIES DURING TRADING HOURS, INSURANCE AGENT SELLS LIFE, DISABILITIY, HEALTH,EQUITY INDEXED ANNUITIES, LONG TERM CARE, ANNUITIES AND INDEXED UNIVERSAL LIFE. 2) DBA FALCON WEALTH MANAGEMENT/FALCON INSURANCE SERVICES; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; DBA FOR FINANCIAL AND INSURANCE SERVICES; START 7/2015; 50 HOURS/WEEK DURING SECURITIES TRADING HOURS; PWNER/PRESIDENT. 3) NAME OF OTHER BUSINESS: BRIGHT FUTURES WEALTH MANAGEMENT, INVESTMENT RELATED: YES ADDRESS: 2376 MONROE AVE. ROCHESTER, NY 14618 NATURE OF BUSINESS: PORTFOLIOS, START DATE: 6/28/16, POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 5, DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: IPC PORTFOLIOS AND MANAGING CLIENT RELATIONSHIPS . 4) NAME OF OTHER BUSINESS: WALLKILL TRAVEL BASEBALL; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: TRAVEL BASEBALL; START DATE: 2/2025; POSITION/TITLE/RELATIONSHIP: DIRECTOR OF COACHING AND SCHEDULING; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SUPPORT TRAVEL BASEBALL FOR LOCAL PLAYERS; 5) NAME OF OTHER BUSINESS: ONLY STAR CREATORS, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: MODELING/TALENT AGENCY, START DATE: 02/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 2, BRIEF DESCRIPTION OF DUTIES: MANAGEMENT OF DIGITAL CREATORS WORKING WITH THE AGENCY;
CRS (Client Relationship Summary) - RIA
Click below to view Joseph James Montalbano'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®
CFP®
Start date: 2013
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
wallkill, NY
Current
November 2, 2012 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Wallkill, NY
Past
March 31, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
December 21, 2007 - December 10, 2012
PHD CAPITAL
BD
CRD#: 38785
NEW YORK, NY
Past
August 23, 2006 - October 13, 2006
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
NEW WINDSOR, NY
Past
August 10, 2006 - October 13, 2006
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
NEW WINDSOR, NY
Past
September 19, 2003 - April 19, 2006
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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
Connecticut(11/2/2012)
RR
Georgia(11/5/2012)
RR
New Jersey(12/11/2012)
RR
New York(11/2/2012)
IAR
New York(3/21/2024)
RR
Pennsylvania(6/14/2023)
RR
South Carolina(6/16/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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.
