Joseph D. Close

CETERA INVESTMENT ADVISERS LLC

NORTH ROYALTON, OH 44133

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CRD#: 7259804

Professional summary

Joseph Donald Close, who also goes by Joseph Close, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in North Royalton, Ohio and CETERA INVESTMENT SERVICES LLC located in North Royalton, Ohio.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Joseph has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Close

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 Donald Close'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

September 30, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 13901 Ridge Road, North Royalton, OH 44133

RIA

CRD#: 105644

NORTH ROYALTON, OH

Current

September 30, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 13901 Ridge Road, North Royalton, OH 44133

CRD#: 15340

North Royalton, OH

Past

April 29, 2022 - August 14, 2024

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

ASHTABULA, OH

Past

September 29, 2020 - August 14, 2024

KEY INVESTMENT SERVICES LLC

CRD#: 136300

ASHTABULA, OH

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

North Carolina
(10/21/2024)

Ohio
(9/30/2024)

IAR

Ohio
(9/30/2024)

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: 4/28/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/11/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/9/2022

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 9/29/2020

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 7/13/2020

Securities Industry Essentials 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
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.

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Advisor Monitoring

Firm Stability Insights

Joseph D. Close

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Donald Close's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/28/2022

Series 63

Date: 12/11/2020

Series 7TO

Date: 2/9/2022

Series 6TO

Date: 9/29/2020

SIE

Date: 7/13/2020

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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