JH
Joshua B. Heims
CETERA INVESTMENT ADVISERS LLC
WILLIAMSVILLE, NY
Some features on this profile are disabled
CRD#: 4676576
JH
Professional summary
Joshua Burch Heims, AIF®, who also goes by Joshua B Heims, Josh Heims, Joshua Heims, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Williamsville, New York and CETERA WEALTH SERVICES, LLC located in Williamsville, New York.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joshua has worked at 10 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joshua B Heims | Josh Heims | Joshua Heims
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) CLARENCE GIRLS SOFTBALL LEAGUE POS: President and Commissioner NATURE: I run a Not For Profit Girls Softball League The Objective of the Clarence Girls Softball League is to introduce, establish, teach, and promote youth softball to girls, in an environment that encourages self-confidence and self-worth; leading to an active, constructive lifestyle.? INV RELATED: No # OF HRS: 2 SECURITIES TRADING HRS: 0 START: 09/01/2021 ADDR: 5635 Goodrich Road, Clarence NY DESC: Oversee Board Meetings Source Board Candidates Oversee the Executive Board Oversee Capital Projects 2) THE HEIMS CO., INC. POS: Chief Executive Officer NATURE: I use this entity to pass through income to pay business expenses. INV RELATED: No # OF HRS: 4 SECURITIES TRADING HRS: 4 START: 12/08/2006 ADDR: 9223 Beech Meadow Court, Clarence Center NY DESC: I manage payroll, pay bills and manage the Corporate taxes. 3) PRO MEDICUS WEALTH MANAGEMENT, LLC POS: Member NATURE: No longer active for any purpose INV RELATED: No # OF HRS: 0 SECURITIES TRADING HRS: 0 START: 06/24/2009 ADDR: 5920 Main Street, Suite 200, Williamsville NY DESC: None 5) LINCOLN SPARROW ADVISORS, LLC POS: Sole Proprietor NATURE: Used as a DBA for marketing of Financial services, including insurance, financial planning, fee based asset management and Broker Dealer product sales. INV RELATED: Yes # OF HRS: 100 SECURITIES TRADING HRS: 100 START: 03/11/2013 ADDR: 5920 Main Street, Suite 200, Williamsville NY DESC: Manage the website, marketing material and any marketing and advertising, review investment performance with clients, meet with clients. 6) LINCOLN SPARROW ADVISORS, LLC POS: Proprietor NATURE: Independent SEC Registered RIA We will be dissolving this RIA once affiliated with Avantax. INV RELATED: Yes # OF HRS: 1 SECURITIES TRADING HRS: 0 START: 05/21/2013 ADDR: 5920 Main Street, Suite 200, Williamsville NY DESC: CCO and CIO of Independent RIA We will be dissolving this RIA once affiliated with Avantax. 7) ESTATE EXECUTOR POS: Executor NATURE: I am the Executor of an Estate for a close friend who passed away. I am working closely with the Attorneys and Accountants for the Estate to follow the Will. INV RELATED: No # OF HRS: 2 SECURITIES TRADING HRS: 0 START: 01/26/2023 ADDR: 5920 Main Street, Williamsville NY DESC: I am responsible to report all assets to the Attorneys, move assets from the individuals name to the name of the Estate, coordinate with the Accountants to make sure all tax returns are filed and taxes paid and follow Attorneys instruction on the proper distribution of assets. 8) LINCOLN SPARROW ADVISORS, LLC POS: Sole Proprietor NATURE: Used as a DBA for marketing of Financial services, including insurance, financial planning, fee based asset management and Broker Dealer product sales. INV RELATED: Yes # OF HRS: 100 SECURITIES TRADING HRS: 100 START: 03/11/2013 ADDR: 5920 Main Street, Williamsville NY DESC: Manage the website, marketing material and any marketing and advertising, review investment performance with clients, meet with clients?. 9) BEARINGSTONE WEALTH, INC. POS: Founding Partner - Financial Advisor NATURE: Used as a DBA for marketing of Financial services, including insurance, financial planning, fee based asset management and Broker Dealer product sales. INV RELATED: No # OF HRS: 100 SECURITIES TRADING HRS: 100 START: 12/31/2024 ADDR: 5920 Main Street, Williamsville NY DESC: Manage the website, marketing material and any marketing and advertising, review investment performance with clients, meet with clients.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Burch Heims'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WILLIAMSVILLE, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5920 Main Street, Williamsville, NY 14221BD
CRD#: 13572
Williamsville, NY
Past
October 30, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Williamsville, NY
Past
October 30, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Williamsville, NY
Past
September 1, 2023 - November 2, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
WILLIAMSVILLE, NY
Past
November 2, 2018 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
WILLIAMSVILLE, NY
Past
August 11, 2011 - November 7, 2018
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
WILLIAMSVILLE, NY
Past
July 19, 2005 - August 16, 2011
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
WILLIAMSVILLE, NY
Past
May 24, 2005 - July 21, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 24, 2005 - July 21, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
August 19, 2003 - April 19, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 19, 2003 - April 19, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(9/18/2025)
RR
California(9/18/2025)
RR
Florida(9/5/2025)
RR
Illinois(9/5/2025)
RR
Nevada(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Utah(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
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
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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.
