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Robert James Joseph

Cetera Investment Advisers LLC

Santa Fe, NM

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2017-05-22
  • NM RA
    APPROVED
    Since 2017-05-22

Branch Locations

Santa Fe, NM • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Los Alamos National Bank Los Alamos NM 09/2010 06/2025
Lpl Financial Charlotte NC 09/2010 05/2017
Cetera Investment Services Llc St Cloud MN 05/2017 Present
Cetera Investment Advisers Llc Santa Fe NM 05/2017 Present
  • 09/2010 → 06/2025
    Los Alamos National Bank
    Los Alamos, NM
  • 09/2010 → 05/2017
    Lpl Financial
    Charlotte, NC
  • 05/2017 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 05/2017 → Present
    Cetera Investment Advisers Llc
    Santa Fe, NM
Previous Registrations
  • 2010-09-24 → 2017-05-23
    Lpl Financial Llc
    Santa Fe, NM
    Los Alamos, NM
    Los Alamos, NM
    Santa Fe, NM
    Santa Fe, NM
    Albuquerque, NM
    Santa Fe, NM
  • 2008-12-02 → 2010-08-17
    Eagle Strategies Llc
    Albuquerque, NM
  • 2006-07-20 → 2008-10-13
    Waddell & Reed
    Albuquerque, NM
    Los Alamos, NM
    Ranchos De Taos, NM
    Santa Fe, NM
Other Businesses

ENCHANTMENT WEALTH MANAGEMENT, DBA FOR CETERA BUSINESS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-07-12
S63 Uniform Securities Agent State Law Examination 1986-09-02
  • S65 Uniform Investment Adviser Law Examination
    2006-07-12
  • S63 Uniform Securities Agent State Law Examination
    1986-09-02

View on SEC IAPD

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