Joseph Edward Carollo

Current Employers

Employment History

• 01/1988 → Present
  Carollo & Assoc. P.C.
  Portland, CT
• 10/2000 → 09/2025
  Avantax Investment Services, Inc.
  Portland, CT
• 01/2002 → 09/2025
  Avantax Advisory Services
  Portland, CT
• 01/2010 → 07/2026
  Carollo Mortgage Co
  Portland, CT
• 05/2014 → 09/2025
  Avantax Insurance Agency, Llc
  Portland, CT
• 09/2020 → 12/2021
  Aristy 2019 Real Estate Fund, Llc
  Peachtree, GA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2002-01-02 → 2025-09-05
  Avantax Advisory Services
  S. Glastonbury, CT
  Portland, CT
  Dallas, TX
  Enfield, CT

Other Businesses

1) Joseph E Carollo, CPA~290 MAIN STREET, PO BOX 144~S GLASTONBURY~CT~06073~Tax Preparation/Accounting~President~10/8/2003~120hrs~80hrs~TAX PREPARATION 2) MAPLE MILL PARTNERS LLC~267 HIGHWAY 74 N, SUITE 4~PEACHTREE~GA~30269~Other~Other~9/29/2020~0hrs~0hrs~I HAVE COMMITTED A ONE TIME AMOUNT OF $25,000 IN CAPITAL WITH THE EXPECTATION OF RECEIVING FINANCIAL RETURN WITH NO OTHER DUTIES OR REQUIREMENTS FOR PARTICIPATION 3) CEDAR ROCK PARTNERS, LLC POSITION: LIMITED PARTNER NATURE: This is a conservation easement limited partnership which is used as a tax reduction devise. It is allowed under the current IRS regulations INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/10/2021 ADDRESS: 290 Main Street, South Glastonbury CT 06073, United States DESCRIPTION: I have no duties or responsibilities within the partnership 4) INNOVEST FINANCIAL SERVICES, LLC POSITION: Sub Rep NATURE: I am investment Advisor that works underneath the main advisor at Innovest Financial Services, LLC? INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 10/31/2022 ADDRESS: 290 Main Street, South Glastonbury CT 06073, United States DESCRIPTION: Investment Advisor. 5) FIXED INDEX ANNUITY POSITION: insurance agent NATURE: fixed insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2023 ADDRESS: 290 Main Street, South Glastonbury CT 06073, United States DESCRIPTION: presenting fixed index annuities options 6) Carollo & Associates PC; President; Tax Preparation/Accounting; NIR; 01/01/2010; 290 MAIN STREET, PO BOX 144 SOUTH GLASTONBURY CT 06073; MANAGER

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-09-20
• S63 Uniform Securities Agent State Law Examination
  2000-07-17