Joseph S. Fanucchi
CETERA INVESTMENT ADVISERS LLC
CONCORD, CA 94520
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CRD#: 4681324
Professional summary
Joseph Stephen Fanucchi, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Concord, California and CETERA WEALTH SERVICES, LLC located in Concord, California.
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 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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: GBA WEALTH GROUP ;
INVESTMENT RELATED: YES ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: FINANCIAL SERVICES ;
POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR ;
START DATE: 10/2019 ;
APX NUMBER OF HOURS PER WEEK: 40 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ;
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES ;
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Stephen Fanucchi'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: 2020
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520Office #2: 1260 N Dutton Ave Ste 145, Santa Rosa, CA 95401RIA
CRD#: 105644
CONCORD, CA
Current
February 23, 2005 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520Office #2: 1260 N Dutton Ave Ste 145, Santa Rosa, CA 95401BD
CRD#: 13572
Concord, CA
Past
May 10, 2006 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MERCED, CA
Past
January 12, 2004 - December 31, 2004
TALBOT FINANCIAL SERVICES, INC.
BD
CRD#: 46345
ALBUQUERQUE, NM
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(8/23/2017)
RR
Arizona(11/17/2016)
RR
California(9/15/2005)
IAR
California(6/29/2023)
RR
Colorado(1/3/2023)
RR
Florida(6/10/2019)
RR
Hawaii(10/11/2016)
RR
Idaho(8/23/2017)
RR
Illinois(5/20/2022)
RR
Massachusetts(4/18/2019)
RR
Michigan(2/6/2025)
RR
Montana(1/19/2018)
RR
Nevada(4/13/2015)
RR
New Mexico(8/3/2016)
RR
Ohio(9/29/2023)
RR
Oregon(10/11/2016)
RR
Pennsylvania(1/2/2024)
RR
South Carolina(6/26/2024)
RR
Texas(3/13/2019)
IAR
Texas(6/29/2023)
RR
Utah(4/7/2021)
RR
Virginia(2/27/2025)
RR
Washington(9/4/2013)
RR
Wyoming(1/19/2018)
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Concord, CA 94520TRUST BUT VERIFY
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