Joseph C. Gallant

CETERA INVESTMENT ADVISERS

LITTLETON, NH 03561

CRD#: 5031453

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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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Christopher Gallant'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®

CFP^®

Certified Financial Planner

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 03801

RIA

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 03801

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.

CRD#: 2882

Newington, NH

Past

June 10, 2009 - May 2, 2011

OPPENHEIMER & CO. INC.

CRD#: 249

PORTSMOUTH, NH

Past

February 26, 2008 - June 19, 2009

DEUTSCHE BANK SECURITIES INC.

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

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".

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

Alabama
(3/14/2022)

Arizona
(3/14/2022)

Arkansas
(5/21/2025)

California
(10/26/2023)

Colorado
(6/9/2021)

Connecticut
(6/9/2021)

Florida
(6/10/2021)

Georgia
(6/20/2025)

Kentucky
(8/16/2024)

Louisiana
(12/14/2022)

Maine
(6/9/2021)

IAR

Maine
(6/17/2025)

Massachusetts
(6/9/2021)

Michigan
(11/8/2022)

Minnesota
(6/10/2025)

Nevada
(2/7/2022)

New Hampshire
(6/9/2021)

IAR

New Hampshire
(6/29/2023)

New Jersey
(7/29/2024)

New Mexico
(5/7/2026)

New York
(6/9/2021)

North Carolina
(11/13/2023)

Ohio
(11/8/2022)

Oregon
(6/18/2025)

Rhode Island
(6/9/2021)

South Carolina
(6/9/2021)

Texas
(11/24/2021)

IAR

Texas
(6/29/2023)

Vermont
(4/27/2023)

Virginia
(1/13/2023)

Washington
(1/25/2023)

Wyoming
(2/17/2023)

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

IAR

Series 66

Date: 12/1/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2005

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

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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Firm Stability Insights

Joseph C. Gallant

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Christopher Gallant's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

OPPENHEIMER & CO. INC.

DEUTSCHE BANK SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/10/2005

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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