JB
Janice N. Borsch
CETERA INVESTMENT ADVISERS LLC
SANTA MARIA, CA
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CRD#: 4802429
JB
Professional summary
Janice Nadine Borsch is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Santa Maria, California and CETERA WEALTH SERVICES, LLC located in Santa Maria, California.
Janice is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Janice has worked at 6 firms and has passed the Series 66, SIE and Series 7 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) BT Wealth Management Services, Inc~5075 S Bradley Road, Suite 115~Santa Maria~CA~93455~Accounting/Bookkeeping (No Tax Preparation)~Director/Officer~8/5/2014~173hrs~87hrs~Officer - Daily management of office, responsible for tax preparation, accounting and all associated activities. 2) DAN BORSCH INSURANCE AGENCY~937 E MAIN STREET, STE 104~SANTA MARIA~CA~93454~Insurance Agent~Other~10/1/2017~1hrs~0hrs~Referral to son for Health Insurance - He is splitting commissions with me for referrals. 3) Ian M Hassett Foundation~938 Sunflower Court~Santa Maria~CA~93455~Board Position/Officer~Other~12/1/2018~1hrs~0hrs~Board Director - duties include meeting with other board members, attend and participate in fundraising events, vote on proposals presented to the board. 4) JANICE N BORSCH, CPA POSITION: Owner/Sole Proprietor NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/01/1993 ADDRESS: 1145 East Clark Avenue, Suite E, Santa Maria CA 93455, United States DESCRIPTION: Provide accounting and tax preparation services for clients 5) JRE AND MGE TRUST B POSITION: Trustee NATURE: Trustee for the trust - investments are held at Avantax for the beneficiaries with another advisor. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/31/2024 ADDRESS: 5735 El Camino Real, Ste J, Atascadero CA 93422, United States DESCRIPTION: Accounting, tax preparation and paying bills from the trust bank account on behalf of the trust beneficiaries.
CRS (Client Relationship Summary) - RIA
Click below to view Janice Nadine Borsch'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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SANTA MARIA, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1145 East Clark Avenue Suite E, Santa Maria, CA 93455Office #2: 5735 El Camino Real Ste J, Atascadero, CA 93422BD
CRD#: 13572
Santa Maria, CA
Past
March 8, 2012 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
SANTA MARIA, CA
Past
January 31, 2012 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ATASCADERO, CA
Past
March 3, 2006 - December 31, 2011
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
SANTA MARIA, CA
Past
January 16, 2006 - December 31, 2011
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
SANTA MARIA, CA
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(9/5/2025)
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Georgia(9/5/2025)
RR
Idaho(9/5/2025)
RR
North Carolina(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Washington(9/5/2025)
Exams
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.
