JN
Joshua D. Nease
CETERA INVESTMENT SERVICES LLC
Branson, MO 65616
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CRD#: 4918149
JN
Professional summary
Joshua David Nease, who also goes by Josh David Nease, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Branson, Missouri.
Joshua is registered as a RR (Registered Representative) and started their career in finance in 2005. Joshua has worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Josh David Nease
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Joshua David Nease'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
April 5, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 203 North Commerical St, Branson, MO 65616BD
CRD#: 15340
Branson, MO
Past
January 10, 2019 - April 8, 2019
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
LITTLEROCK, AR
Past
July 1, 2016 - December 5, 2018
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
Bentonville, AR
Past
March 18, 2010 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
JONESBORO, AR
Past
July 15, 2009 - December 4, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
NORCO, LA
Past
August 1, 2007 - May 12, 2009
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
JONESBORO, AR
Past
February 7, 2006 - July 17, 2007
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
CARENCRO, LA
Past
March 1, 2005 - September 20, 2005
CAPITAL ONE INVESTMENTS, LLC
BD
CRD#: 17526
NEW ORLEANS, LA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(2/9/2023)
RR
Arkansas(4/10/2019)
RR
Florida(1/31/2020)
RR
Georgia(5/14/2024)
RR
Illinois(12/7/2022)
RR
Louisiana(11/13/2023)
RR
Missouri(4/5/2019)
RR
Montana(1/9/2020)
RR
Nebraska(11/17/2021)
RR
North Carolina(6/3/2019)
RR
Oklahoma(9/23/2019)
RR
Tennessee(5/15/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/20/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT SERVICES LLC
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS
CRD#: 15340 / SEC#: 801-45573, 8-31826
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301
Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283
Phone number
(320) 656-4300
Established
Delaware since 11/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
