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Joseph Neary

VP, Manager, CEO and President at Cetera Investment Advisers

Investment adviser and broker registrationsSEC record checked 17 October 2026

25
Years in the industry
3
Years at the firm
4
Adviser firms
2
State registrations

IAPD record retrieved 17 October 2026SEC record

Joseph Neary is VP, Manager, CEO and President of Cetera Investment Advisers LLC, a Schaumburg investment adviser managing $257B. Joseph Neary has been registered through Cetera Investment Advisers since 29 June 2023, has 25 years in the industry across 4 firms and has passed 7 licensing exams.

Role at Cetera Investment Advisers

Title on Schedule A
VP, Manager, CEO and President
Control
Joseph Neary is a control person of Cetera Investment Advisers.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Neary has held the filed role since May 2019.

The firm

Cetera Investment Advisers LLC
Schaumburg, IL

Form ADV filed 13 August 2026

$257B AUM813,961 clients9,049 advisers28 offices

Career on record

Joseph Neary has been registered through Cetera Investment Advisers since June 2023, and before that through Cetera Advisor Networks LLC, Park Avenue Securities LLC and Royal Alliance Associates, Inc..

Firms and exams, newest first
  1. Cetera Investment Advisers LLCCurrent
    – present · 3 years
    , · Adviser representative · Firm CRD 105644
  2. Passed Series 14 and Series 52TO · 2023
  3. Passed SIE · 2018
  4. Cetera Advisor Networks LLC
    – · 9 years
    New York, NY · Adviser representative · Firm CRD 13572
  5. Park Avenue Securities LLC
    – · 1 year
    New York, NY · Adviser representative · Firm CRD 46173
  6. Royal Alliance Associates, Inc.
    – · 1 year
    New York, NY · Adviser representative · Firm CRD 23131
  7. Passed Series 66 · 2012
  8. Passed Series 53 · 2002
  9. Passed Series 7 and Series 24 · 2000

Registrations and exams

Joseph Neary has a current investment-adviser registration in California and Nevada and has passed 7 qualifying exams.

California29 June 2023
Scope
Investment adviser representative
Status
Approved
Nevada29 June 2023
Scope
Investment adviser representative
Status
Approved

Examinations

Series 662 March 2012
Name
Uniform Combined State Law Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 5316 December 2002
Name
Municipal Securities Principal Examination
Series 2422 November 2000
Name
General Securities Principal Examination
Series 52TO2 January 2023
Name
Municipal Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 77 November 2000
Name
General Securities Representative Examination

Individual record

Full name
Joseph Daniel Neary
CRD
2993505
Firm
Cetera Investment Advisers LLC
Registration status
Investment adviser and broker registrations
Firm bio
cetera.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Cetera identifies Joe Neary as chief risk officer for Cetera Financial Group; he leads compliance and risk professionals advising its network of firms. Official firm biography/team page

Education

Common questions

Where does Joseph Neary work?

Joseph Neary has been VP, Manager, CEO and President of Cetera Investment Advisers LLC since May 2019, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 13 August 2026

Is Joseph Neary a financial advisor?

Yes. Joseph Neary has a current investment-adviser registration in California and Nevada, through Cetera Investment Advisers since June 2023, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Joseph Neary have?

Joseph Neary has worked in the financial industry for 25 years as of 17 October 2026, counted from 22 January 2001, across 4 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Joseph Neary passed?

Joseph Neary has passed 7 licensing exams: the Series 7, Series 24, Series 53, Series 66, SIE, Series 14 and Series 52TO. The earliest, the Series 7, was passed in November 2000.

Source: IAPD individual record, checked 17 October 2026

Where did Joseph Neary work before Cetera Investment Advisers?

Before Cetera Investment Advisers, Joseph Neary was registered through Cetera Advisor Networks LLC, November 2014 to June 2023; Park Avenue Securities LLC, May 2013 to January 2014; Royal Alliance Associates, Inc., March 2012 to April 2013.

Source: IAPD individual record, checked 17 October 2026

Leadership at Cetera Investment Advisers

Sources

  1. IAPD individual record, CRD 2993505. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Cetera Investment Advisers LLC, filed 13 August 2026. Title, control and ownership bands.
  3. Cetera Investment Advisers team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Joseph Neary or Cetera Investment Advisers LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.