Joseph N. Mortenson
Professional summary
Joseph Nicholas Mortenson, who also goes by Joe Nicholas Mortenson, Joe Mortenson, Joseph Nicholas Mortenson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Castle Rock, Colorado and CETERA FINANCIAL SPECIALISTS LLC located in Castle Rock, Colorado.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Joseph has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Nicholas Mortenson's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
October 31, 2023 - Present
CETERA FINANCIAL SPECIALISTS LLC
August 2, 2022 - September 1, 2023
ALTRUIST FINANCIAL LLC
June 23, 2020 - July 15, 2022
ROBINHOOD FINANCIAL, LLC
April 17, 2019 - May 26, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 31, 2017 - May 26, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 5, 2017 - July 11, 2017
SCOTTRADE, INC.
August 15, 2016 - February 21, 2017
MORGAN STANLEY
August 12, 2013 - May 16, 2016
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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
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.
