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Joseph Paul Rosario

Joseph P. Rosario

CETERA INVESTMENT ADVISERS | Financial Consultant
Deerfield, IL 60015
Some features on this profile are disabled
CRD#: 5640438
Joseph Paul Rosario

Professional summary

Joseph Paul Rosario is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Deerfield, Illinois and CETERA WEALTH SERVICES, LLC located in Deerfield, Illinois.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Joseph has worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.

Biography

As a Financial Consultant with Fidelity, I partner with High Net Worth clients and their families to develop financial plans to work towards meeting their personal definition of success. During my 12 years in the industry and my passion for financial planning, I have gained a deep knowledge of the resources and services available to my clients, which allows me to help implement and maintain these comprehensive financial plans. Originally from Chicago, currently living in Elmhurst.

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 Paul Rosario'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®
None

Education

Kaplan Educational Centers

CFP - CFP

University of Illinois

Master of Business Administration (MBA) - Business

DePaul University

Bachelor of Science (BS) - Finance

2010

Experience

Current

December 11, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 570 Lake Cook Road Suite 300, Deerfield, IL 60015
RIA
CRD#: 105644
Deerfield, IL
Current

December 11, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 570 Lake Cook Road Suite 300, Deerfield, IL 60015
BD
CRD#: 13572
DEERFIELD, IL
Past

March 31, 2025 - December 18, 2025

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
ELMHURST, IL
Past

August 1, 2019 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
HIGHLAND PARK, IL
Past

July 17, 2019 - December 18, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
HIGHLAND PARK, IL
Past

February 15, 2018 - July 8, 2019

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Northbrook, IL
Past

February 14, 2018 - July 8, 2019

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Northbrook, IL
Past

March 30, 2017 - June 15, 2017

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
CHICAGO, IL
Past

January 27, 2017 - June 15, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
CHICAGO, IL
Past

July 20, 2016 - February 9, 2017

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
BOCA RATON, FL
Past

March 16, 2016 - April 29, 2016

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
DOWNERS GROVE, IL
Past

June 16, 2015 - January 9, 2016

OSAIC SERVICES, INC.

BD
CRD#: 133763
DOWNERS GROVE, IL

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
Arizona
(12/11/2025)
RR
California
(12/11/2025)
RR
Colorado
(12/11/2025)
RR
Connecticut
(12/11/2025)
RR
Florida
(12/11/2025)
RR
Illinois
(12/11/2025)
IAR
Illinois
(12/11/2025)
RR
Iowa
(12/11/2025)
RR
Michigan
(12/11/2025)
RR
Minnesota
(12/11/2025)
RR
Missouri
(12/11/2025)
RR
Nevada
(12/11/2025)
RR
New York
(12/11/2025)
RR
North Carolina
(12/11/2025)
RR
Ohio
(12/11/2025)
RR
Tennessee
(12/11/2025)
RR
Texas
(12/11/2025)
IAR
Texas
(12/11/2025)
RR
Utah
(12/11/2025)
RR
Wisconsin
(12/11/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/18/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/22/2016
Investment Company Products/Variable Contracts Principal Examination
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)
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

Financial ConsultantCRD#: 105644Deerfield, IL 60015

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