Joseph R. Garipoli

CRD#: 730907

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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Richard Garipoli, CFP® was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1981. Joseph had worked at 7 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 24, Series 27 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

September 5, 2025 - February 25, 2026

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MONMOUTH BEACH, NJ

Past

September 5, 2025 - February 25, 2026

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WEST LONG BRANCH, NJ

Past

May 18, 2002 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

MONMOUTH BEACH, NJ

Past

November 15, 2000 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

WEST LONG BRANCH, NJ

Past

March 3, 1987 - November 3, 2000

GINSBERG & GARIPOLI SECURITIES CORP.

CRD#: 18973

BEVERLY HILLS, CA

Past

January 1, 1986 - March 14, 1987

RECTOR CAPITAL CORP.

CRD#: 16837

Past

May 18, 1981 - November 8, 1985

HERZOG, HEINE, GEDULD, LLC

CRD#: 2186

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 10/28/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/4/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 10/1/1987

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 4/1/1986

Municipal Securities Principal Examination

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

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 R. Garipoli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

GINSBERG & GARIPOLI SECURITIES CORP.

RECTOR CAPITAL CORP.

HERZOG, HEINE, GEDULD, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/28/1982

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1981

Series 24

Date: 10/4/1999

Series 27

Date: 10/1/1987

Series 53

Date: 4/1/1986

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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