Robert Joseph
Robert Joseph is a registered investment advisor at Cetera Investment Advisers LLC, based in Santa Fe, NM, with 39 years of industry experience. Robert operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Santa Fe, NM
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Robert is a Senior Vice President at Enterprise Bank & Trust, managing assets through Fidelity. This is an outside fee-based activity.
Employment History
Current Registrations
Cetera Investment Services LLCBroker
Cetera Investment Advisers LLC
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Eagle Strategies LLC
Nylife Securities LLCBroker
Waddell & Reed, INC.
Waddell & Reed, INC.Broker
Royal Alliance Associates, INC.Broker
Advantage Capital CorporationBroker
Sentra Securities CorporationBroker
Sme Capital Management CorporationBroker
Advantage Capital CorporationBroker
State Registrations4 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.