Joseph C. Gallant
CETERA INVESTMENT ADVISERS LLC
LITTLETON, NH 03561
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CRD#: 5031453
Professional summary
Joseph Christopher Gallant, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Littleton, New Hampshire and CETERA WEALTH SERVICES, LLC located in Littleton, New Hampshire.
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 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. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1 NEW HAMPSHIRE AVE STE 125; PORTSMOUTH; NH; 3801; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/15/2011; 160; 160; SALE OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: AGRICULTURE FARM LEASE INVESTMENT RELATED: NO ADDRESS: NORTH COUNTY RD 2730, PLYMOUTH, IL 62367 NATURE OF BUSINESS: AGRICULTURE LAND LEASE START DATE: 2/2022 POSITION/TITLE/RELATIONSHIP: N/A APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PASSIVE LEASE; 3. NAME OF OTHER BUSINESS: MULLANEY & ASSOCIATES LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 5/2021; POSITION/TITLE/RELATIONSHIP: PARTNER ; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: APPEARING ON WEBSITE ; 4. NAME OF OTHER BUSINESS: MILLERICK & ASSOCIATES; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2023;, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 0, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: CAHILL DAVIS GROUP ; INVESTMENT RELATED: YES; ADDRESS: 1093 NORTH MAIN ST RANDOLPH, MA 02368; NATURE OF BUSINESS: WEBSITE APPEARANCE; START DATE: 06/2021; POSITION/TITLE/RELATIONSHIP: PARTNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: APPEARING ON BUSINESS PARTNERS WEBSITE;
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Christopher Gallant'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: 2019
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 111 Saranac St Ste 130, Littleton, NH 03561Office #2: 23 Bridgton Road Suite 102, Westbrook, ME 04092Office #3: 121 Shattuck Way, Ste 15, Newington, NH 03801RIA
CRD#: 105644
LITTLETON, NH
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 111 Saranac St Ste 130, Littleton, NH 03561Office #2: 23 Bridgton Road Suite 102, Westbrook, ME 04092Office #3: 121 Shattuck Way, Ste 15, Newington, NH 03801BD
CRD#: 13572
LITTLETON, NH
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
April 27, 2011 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Newington, NH
Past
April 15, 2011 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Newington, NH
Past
June 10, 2009 - May 2, 2011
OPPENHEIMER & CO. INC.
BD
CRD#: 249
PORTSMOUTH, NH
Past
February 26, 2008 - June 19, 2009
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
BOSTON, MA
Past
January 31, 2006 - February 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PORTSMOUTH, NH
Past
November 11, 2005 - February 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PORTSMOUTH, NH
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(3/14/2022)
RR
Arizona(3/14/2022)
RR
Arkansas(5/21/2025)
RR
California(10/26/2023)
RR
Colorado(6/9/2021)
RR
Connecticut(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/20/2025)
RR
Kentucky(8/16/2024)
RR
Louisiana(12/14/2022)
RR
Maine(6/9/2021)
IAR
Maine(6/17/2025)
RR
Massachusetts(6/9/2021)
RR
Michigan(11/8/2022)
RR
Minnesota(6/10/2025)
RR
Nevada(2/7/2022)
RR
New Hampshire(6/9/2021)
IAR
New Hampshire(6/29/2023)
RR
New Jersey(7/29/2024)
RR
New York(6/9/2021)
RR
North Carolina(11/13/2023)
RR
Ohio(11/8/2022)
RR
Oregon(6/18/2025)
RR
Rhode Island(6/9/2021)
RR
South Carolina(6/9/2021)
RR
Tennessee(1/2/2025)
RR
Texas(11/24/2021)
IAR
Texas(6/29/2023)
RR
Vermont(4/27/2023)
RR
Virginia(1/13/2023)
RR
Washington(1/25/2023)
RR
Wyoming(2/17/2023)
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
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Littleton, NH 03561TRUST BUT VERIFY
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