Joseph Richard Gertie

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

• 10/2013 → 11/2017
  Girard Securities Inc.
  San Diego, CA
• 11/2017 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 11/2017 → Present
  Epic Estate Plans
  Palmdale, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2013-10-02 → 2017-11-01
  Girard Securities, Inc.
  San Diego, CA
  Palmdale, CA
• 1997-07-08 → 2013-10-09
  Waddell & Reed
  Palmdale, CA
  Pasadena, CA
  Woodland Hills, CA
  Las Vegas, NV

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: 08/2019; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: EPIC ESTATE PLANS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ESTATE PLANNING START DATE: 11/2017 POSITION/TITLE/RELATIONSHIP: NETWORKING COUNSELOR APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: EDUCATE PROSPECTS ON THE BENEFITS OF HAVING A WRITTEN ESTATE PLAN; 3. NAME OF OTHER BUSINESS: G CAPITAL TRADING LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL ADDRESS; NATURE OF BUSINESS: PERSONAL TRADING PURPOSES; START DATE: 11/2017; POSITION/TITLE/RELATIONSHIP: OWNER / MANAGING MEMBER; APX NUMBER OF HOURS PER WEEK: 1-4; APX NUMBER OF HOURS DURING TRADING HOURS: 1-4; BRIEF DESCRIPTION OF DUTIES: PERSONAL TRADING AND MANAGE BUSINESS ACTIVITIES OF LLC; 4. NAME OF OTHER BUSINESS: JOSEPH R. GERTIE; INVESTMENT RELATED: NO ADDRESS: 36512 UPLAND CT PALMDALE, CA 93550; NATURE OF BUSINESS: SOLAR REFERRALS; START DATE: 8/2022; POSITION/TITLE/RELATIONSHIP: REFERRER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: REFER POTENTIAL HOME OWNERS TO SOLAR CONTRACTORS;

Exams

• S63 Uniform Securities Agent State Law Examination
  1988-05-26

Designations

• Certified Financial Planner

Other Names

• Joe Gertie