Joseph J. Depaola

CETERA INVESTMENT ADVISERS LLC

Fairfield, NJ 07004

Some features on this profile are disabled

CRD#: 5811580

Professional summary

Joseph John Depaola is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fairfield, New Jersey and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Joseph has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 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 other business: Fixed insurance Investment related: Yes Address: Same as registered location Nature of business: Fixed Insurance Start Date: 01/2012 Apx number of hours per week: 5 Apx number of hours during trading hours: 0 Position/title/relationship: Insurance Agent Brief description of duties: Insurance Sales and Service 2. Name of other business: Professional Economic Growth Group Investment related: Yes Address: Same as registered location Nature of business: DBA - branding team name Start date: 01/2012 Position/title/relationship: Financial Professional Apx number of hours per week: 35 Apx number of hours during trading hours: 35 Brief description of duties: Providing financial services to clients

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph John Depaola'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

Experience

Current

February 4, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 75 Lane Road Suit 203, Fairfield, NJ 07004

RIA

CRD#: 105644

Fairfield, NJ

Current

February 3, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Past

June 25, 2024 - February 13, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

FAIRFIELD, NJ

Past

June 14, 2024 - June 14, 2024

OSAIC WEALTH, INC.

RIA

CRD#: 23131

FAIRFIELD, NJ

Past

June 14, 2024 - February 13, 2025

OSAIC WEALTH, INC.

CRD#: 23131

FAIRFIELD, NJ

Past

September 2, 2021 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

FAIRFIELD, NJ

Past

December 11, 2017 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

FAIRFIELD, NJ

Past

June 2, 2017 - December 14, 2017

OSAIC FS, INC.

CRD#: 3870

POMPTON PLAINS, NJ

Past

October 7, 2016 - January 18, 2017

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

EDISON, NJ

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

California
(2/3/2025)

District of Columbia
(5/19/2025)

Florida
(2/3/2025)

New Jersey
(2/3/2025)

IAR

New Jersey
(2/4/2025)

Tennessee
(5/16/2025)

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

IAR

Series 66

Date: 8/17/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/2/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/5/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/7/2016

Investment Company Products/Variable Contracts 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Sungmin Ryan Park

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Florham Park, NJ

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph J. Depaola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph John Depaola's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

OSAIC FS, INC.

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2021

Series 63

Date: 4/2/2019

Series 7TO

Date: 12/5/2020

SIE

Date: 10/1/2018

Series 6

Date: 10/7/2016

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

Similar Advisors