Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOYCE ANN WALLACE
JOYCE ANN RUZICH, JOYCE RUZICH WALLACE
CRD#: 1454711
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 10008 COLESVILLE ROAD
SUITE B
SILVER SPRING, MD 20901
CETERA ADVISORS LLCCRD#: 10299 10008 COLESVILLE ROAD
SUITE B
SILVER SPRING, MD 20901
Registration History
19901995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2024 - Present (1 year)BCETERA ADVISORS LLC (CRD# 10299)2004 - Present (21 years)BIFG NETWORK SECURITIES, INC. (CRD# 19948)1998 - 2004 (5 years)BFSC SECURITIES CORPORATION (CRD# 7461)1986 - 1999 (13 years)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1987 - 1988 (1 year)IACETERA ADVISORS LLC (CRD# 10299)2004 - 2024 (20 years)IAIFG ADVISORY SERVICES INC (CRD# 105316)2000 - 2004 (3 years)
License(s)

State Registrations

B
Alabama 12/5/2024
IA
Maryland 3/21/2024
B
California 1/5/2016
B
New Jersey 10/23/2007
B
Colorado 7/30/2021
B
Ohio 12/7/2023
B
District of Columbia 1/24/2012
B
Pennsylvania 1/5/2016
B
Florida 1/1/2004
B
South Carolina 3/23/2021
B
Georgia 10/4/2021
B
Virginia 1/5/2016
B
Maryland 1/1/2004

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
10008 COLESVILLE ROAD SUITE B, SILVER SPRING, MD 20901
Registered with this firm since 3/21/2024
B
CETERA ADVISORS LLC (CRD#:10299)
10008 COLESVILLE ROAD SUITE B, SILVER SPRING, MD 20901
Registered with this firm since 1/1/2004
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/01/2004 - 03/21/2024 CETERA ADVISORS LLC (CRD#:10299) SILVER SPRING , MD
B
 02/24/1998 - 01/02/2004 IFG NETWORK SECURITIES, INC. (CRD#:19948) ATLANTA, GA
IA
 04/05/2000 - 01/01/2004 IFG ADVISORY SERVICES INC (CRD#:105316) SILVER SPRING, MD
B
 02/19/1986 - 09/08/1999 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
 01/30/1987 - 10/24/1988 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.