Joseph Robert Chappell

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2015 → 03/2017
  Metlife Securities
  Tempe, AZ
• 07/2016 → 03/2021
  Massachusetts Mutual Life Insurance Company
  Scottsdale, AZ
• 03/2017 → 03/2021
  Mml Investors Services, Llc
  Scottsdale, AZ
• 09/2020 → 01/2023
  American United Life
  Gilbert, AZ
• 03/2021 → 01/2023
  Oneamerica Securities
  Gilbert, AZ
• 01/2023 → Present
  Cetera Advisors Llc
  St Cloud, MN
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2021-03-19 → 2023-02-16
  Oneamerica Securities, Inc.
  Indianapolis, IN
  Gilbert, AZ
• 2019-06-07 → 2021-03-05
  Mml Investors Services, Llc
  Scottsdale, AZ
  Tempe, AZ
  Phoenix, AZ
  Scottsdale, AZ

Other Businesses

1 NAME OF OTHER BUSINESS: ENSIGN FINANCIAL PARTNERS , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2020, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 20, APX NUMBER OF HOURS DURING TRADING HOURS: 20, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2 NAME OF OTHER BUSINESS: ENSIGN PARTNERS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: INTEGRATED INSURANCE, TAX AND LEGAL STRATEGIES, START DATE: 04/2020, POSITION/TITLE/RELATIONSHIP: DIRECTOR OF RETIREMENT PLANNING, APX NUMBER OF HOURS PER WEEK: 15, APX NUMBER OF HOURS DURING TRADING HOURS: 15, BRIEF DESCRIPTION OF DUTIES: ONBOARD NEW BUSINESS OWNER CLIENTS;

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-06-04
• S63 Uniform Securities Agent State Law Examination
  2014-10-14

Other Names

• Jr Chappell