JM
Joseph D. Matoney
CETERA INVESTMENT ADVISERS LLC
WAKEFIELD, RI 02879
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CRD#: 4865055
JM
Professional summary
Joseph Daniel Matoney is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wakefield, Rhode Island and CETERA WEALTH SERVICES, LLC located in Wakefield, Rhode Island.
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 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 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) Pacific Life appointment 30 Holley Street~Wakefield~RI~02879~Insurance Agent~Insurance Sales Agent~1/1/2016~1hrs~0hrs~Running quotes and finding appropriate Insurance policies for clients 2) Joseph P. Matoney CPA 30 Holley St~Wakefield~RI~02879~Tax Preparation/Accounting~Employee~9/3/2004~20hrs~20hrs~answer phones, client meetings, return prep 3) Matoney Tax & Financial 30 Holley Street~Wakefield~RI~02879~Accounting~Tax Preparation/Accounting~6/1/2015~20hrs~15hrs~Tax Preparation| 4) ROBERTO & HINES LLC POSITION: Manager / owner NATURE: My family owns our office building and we rent rooms in the building to tenants. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2023 ADDRESS: 30 Holley St, Wakefield RI 02879, United States DESCRIPTION: Collect rent, pay bills, property maintenance, find tenants when there is an opening.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Daniel Matoney'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
Office #1: 30 Holley Street Suite 1- 5, Wakefield, RI 02879RIA
CRD#: 105644
WAKEFIELD, RI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 30 Holley St Suite 1-5, Wakefield, RI 02879BD
CRD#: 13572
Wakefield, RI
Past
August 26, 2014 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Wakefield, RI
Past
October 19, 2004 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Wakefield, RI
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
Florida(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Jersey(9/5/2025)
RR
Rhode Island(9/5/2025)
IAR
Rhode Island(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/2/2023
General Securities Representative ExaminationGeneral 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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Wakefield, RI 02879TRUST BUT VERIFY
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