Joseph F Shiman

Current Employers

Employment History

• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2003-01-02 → 2013-09-03
  Tower Square Securities, Inc.
  Bloomfield, CT
  Avon, CT
  Avon, CT

Other Businesses

(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: 2002 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE & ACCIDENT (2) NAME OF OTHER BUSINESS: SHIMAN PARTNERS LLC ; INVESTMENT RELATED: YES ADDRESS: 15 NORTH MAIN ST SUITE 100 WEST HARTFORD CT 06107 ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 01/2019 ; POSITION/TITLE/RELATIONSHIP: OWNER, ADVISOR ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES ; (3) NAME OF OTHER BUSINESS: MCLEAN HOSPICE FUNDRAISING EVENT INVESTMENT RELATED: NO ADDRESS: 75 GREAT POND ROAD, SIMSBURY, CT 06070 NATURE OF BUSINESS: COMMITTEE START DATE: 01/01/2016 POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: COMMITTEE RUNS ANNUAL GOLF TOURNAMENT AND RAISES MONEY FOR MCLEAN HOSPICE CARE. (4) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: 7 THE GLADE, SIMSBURY, CT, 06070, NATURE OF BUSINESS: ESTATE, START DATE:01/2022, POSITION/TITLE/RELATIONSHIP: SUCCESSOR EXECUTOR, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SUCCESSOR EXECUTOR UNDER THE WILL OF A CLIENT. (5) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: 7 THE GLADE, SIMSBURY, CT, 06070, NATURE OF BUSINESS: TRUST, START DATE:01/2022, POSITION/TITLE/RELATIONSHIP: CO-TRUSTEE, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: CO TRUSTEE ON THE TESTAMENTARY TRUST OF A CLIENT. (6) NAME OF OTHER BUSINESS: DUNCASTER FOUNDATION BOARD; INVESTMENT RELATED: NO; ADDRESS: 40 LOEFFLER ROAD BLOOMFIELD, CT 06002; NATURE OF BUSINESS: NON PROFIT; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, SHARE THOUGHTS ON INITIATIVES, VOLUNTEER FOR EVENTS IN LOCAL COMMUNITY;

Exams

• S66 Uniform Combined State Law Examination
  2002-12-27
• S65 Uniform Investment Adviser Law Examination
  1998-07-16
• S63 Uniform Securities Agent State Law Examination
  1997-07-18

Designations

Other Names

• Iii Joseph F Shiman