Joseph M. Rinaldi

CETERA INVESTMENT ADVISERS LLC

DALLAS, TX 75252

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CRD#: 4874311

Professional summary

Joseph Michael Rinaldi, CIMA®, who also goes by Joseph M. Rinaldi, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA WEALTH SERVICES, LLC located in Richardson, Texas.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Joseph has worked at 9 firms and has passed the Series 63, Series 65, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph M. Rinaldi

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) ICONIC WEALTH GROUP POSITION: Chief Investment Office NATURE: This entity will provide a full suite of financial services and customized portfolio allocations. These include financial planning, estate planning, investment advice, and investment management. also provides investment management consulting for various entities. INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 130 START DATE: 01/02/2025 ADDRESS: 13155 Noel Road, Suite 900, Dallas TX 75252, United States DESCRIPTION: My duties include wealth management and advice, risk management, financial planning, investment implementation. 2) ICONIC WEALTH GROUP POSITION: Chief Investment Officer NATURE: Tax preparation for advisory clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/02/2025 ADDRESS: 13155 Noel Road, Suite 900 Office 905, Dallas TX 75252, United States DESCRIPTION: Process returns Analyze tax managed investments Prepare returns

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Rinaldi's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 13155 Noel Rd. Suite 905, Dallas, TX 75252

RIA

CRD#: 105644

DALLAS, TX

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #2: 13155 Noel Rd Suite 900, Dallas, TX 75082

CRD#: 13572

Richardson, TX

Past

January 6, 2025 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

DALLAS, TX

Past

January 6, 2025 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Dallas, TX

Past

October 20, 2022 - January 7, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

DALLAS, TX

Past

October 20, 2022 - January 7, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

DALLAS, TX

Past

August 5, 2019 - November 2, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PLANO, TX

Past

August 2, 2019 - August 2, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PLANO, TX

Past

August 2, 2019 - November 2, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PLANO, TX

Past

June 1, 2009 - August 6, 2019

MORGAN STANLEY

RIA

CRD#: 149777

DALLAS, TX

Past

June 1, 2009 - August 6, 2019

MORGAN STANLEY

CRD#: 149777

DALLAS, TX

Past

May 20, 2009 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 3, 2009 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

June 12, 2007 - September 12, 2008

PLACEMARK INVESTMENTS, INC.

RIA

CRD#: 114680

ADDISON, TX

Past

February 23, 2005 - June 5, 2007

PLACEMARK INVESTMENTS, INC.

RIA

CRD#: 114680

DALLAS, TX

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Colorado
(9/5/2025)

Delaware
(9/5/2025)

Florida
(9/5/2025)

Idaho
(9/5/2025)

Illinois
(9/5/2025)

Maryland
(9/5/2025)

Montana
(9/5/2025)

New Jersey
(9/5/2025)

New York
(9/5/2025)

North Carolina
(9/5/2025)

Oklahoma
(9/5/2025)

Pennsylvania
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Virginia
(9/18/2025)

Washington
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/10/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/22/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Joseph M. Rinaldi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Rinaldi's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PLACEMARK INVESTMENTS, INC.

PLACEMARK INVESTMENTS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/10/2018

Series 65

Date: 2/22/2005

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/19/2009

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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