JI
Joseph R. Iudica
CETERA INVESTMENT ADVISERS LLC
NEWARK, DE 19713
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CRD#: 6419046
JI
Professional summary
Joseph R Iudica is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newark, Delaware and CETERA WEALTH SERVICES, LLC located in Newark, Delaware.
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 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 OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/2016; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: CATHOLIC YOUTH & YOUNG ADULT MINISTRY; INVESTMENT RELATED: NO; ADDRESS: WILMINGTON, DE 19808; NATURE OF BUSINESS: CATHOLIC YOUTH ORGANIZATION; START DATE: 8/2018; POSITION/TITLE/RELATIONSHIP: COACH; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: COACHING KIDS; 3. NAME OF OTHER BUSINESS: DIAMOND STATE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE, SECURITIES, AND ADVISORY SERVICES; START DATE: 04/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR;
CRS (Client Relationship Summary) - RIA
Click below to view Joseph R Iudica'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®
NoneExperience
Current
April 8, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 900 Prides Crossing, Newark, DE 19713RIA
CRD#: 105644
NEWARK, DE
Current
April 8, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 900 Prides Crossing, Newark, DE 19713BD
CRD#: 13572
Newark, DE
Past
June 9, 2021 - April 14, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
NEWARK, DE
Past
June 9, 2021 - April 14, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
NEWARK, DE
Past
July 5, 2016 - June 9, 2021
M&T SECURITIES, INC.
RIA
CRD#: 17358
BEAR, DE
Past
June 3, 2016 - June 9, 2021
M&T SECURITIES, INC.
BD
CRD#: 17358
BEAR, DE
Past
March 12, 2015 - May 20, 2016
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Philadelphia, PA
Past
January 7, 2015 - February 18, 2015
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Delaware(4/8/2025)
IAR
Delaware(4/8/2025)
RR
Maryland(4/8/2025)
RR
Ohio(8/28/2025)
RR
Pennsylvania(4/8/2025)
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
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.
