Joseph Allan Marshall

Current Employers

Employment History

• 06/2003 → 10/2016
  Investors Capital Corporation
  Lynnfield, MA
• 04/1989 → Present
  J. Marshall Associates
  Fall River, MA
• 10/2016 → Present
  Cetera Advisors Llc
  Denver, CO
• 04/1991 → Present
  J. Marshall Associates
  Fall River, MA
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2005-09-09 → 2016-10-03
  Investors Capital Corp.
  Lynnfield, MA
  Fall River, MA
  Fallriver, MA
  Lynnfield, MA
  Lynnfield, MA
  Lynnfield, MA

Other Businesses

1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 9/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITY, ANNUITIES, & LONG TERM CARE 2.NAME OF OTHER BUSINESS: J. MARSHALL ASSOCIATES & J. MARSHALL ASSOCAITES INSURANCE SERVICES INC., INVESTMENT RELATED: YES, ADDRESS: 982 EASTERN AVENUE FALL RIVER MA 02723, NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES, SECURITIES & FIXED INSURANCE, START DATE: 4/1991, APX NUMBER OF HOURS PER WEEK: 30, APX NUMBER OF TRADING HOURS PER WEEK: 30, POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR, BRIEF DESCRIPTION OF DUTIES: MEETS WITH AND SERVICES EXISTING CLIENTS 3.NAME OF OTHER BUSINESS: PRINCE HENRY SOCIETY OF FALL RIVER, INVESTMENT RELATED: NO, ADDRESS: PO BOX 3563 FALL RIVER MA 02721, NATURE OF BUSINESS: 501(C)3 ORGANIZATION, START DATE: 1980, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: MEMBER, BRIEF DESCRIPTION OF DUTIES: ATTEND SEVERAL FUNDRAISING EVENTS EACH YEAR 4.NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: COMMERCIAL PROPERTY START DATE: 1/2015 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: RENT OUT SPACE TO OUTSIDE ATTORNEY 5.NAME OF OTHER BUSINESS: VIETNAM VETERANS MEMORIALS WALL COMMITTEE INVESTMENT RELATED: NO ADDRESS: 982 EASTERN AVE FALL RIVER MA 02723 NATURE OF BUSINESS:CIVIC GROUP TO PROMOTE REMEMBRANCE OF PEOPLE WHO DIED IN THE VIETNAM WAR START DATE: 9/2017 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 3 BRIEF DESCRIPTION OF DUTIES: NAME COMMITTEES, CONDUCT MEETINGS, AND PROMOTE THE ORGANZIATION 6. FALL RIVER REDEVELOPMENT AUTHORITY, NOT INVESTMENT RELATED, 100 CAMBRIDGE ST, SUITE 300, BOSTON, MA, 02114, CIVIC, STARTED 01/2020, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX 3 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MONITOR AND SUPPORT THE CITIES WATERFRONT COMMUNITY AND DOWNTOWN URBAN RENEWAL PLANS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-08-01
• S63 Uniform Securities Agent State Law Examination
  1982-11-23