• 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.
JOAN TOZER
JOAN ABURROW, JOAN LEADER, JOAN FRANCES TOZER
CRD#: 4601539
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 3700 STATE ST STE 230
SANTA BARBARA, CA 93105
CETERA ADVISOR NETWORKS LLCCRD#: 13572 3700 STATE ST STE 230
SANTA BARBARA, CA 93105
Registration History
200420062008201020122014201620182020202220242026IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2008 - Present (16 years)BPENSION PLANNERS SECURITIES, INC. (CRD# 14068)2003 - 2008 (5 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2008 - 2023 (14 years)IAPENSION PLANNERS SECURITIES, INC. (CRD# 14068)2007 - 2008 (1 year)
Disclosure(s)
View By:
11/3/2009
Customer Dispute
Denied
License(s)

State Registrations

B
California 8/13/2008

B
Pennsylvania 7/26/2022

IA
California 6/29/2023

B
Texas 3/28/2023

B
Florida 3/27/2024

IA
Texas 6/29/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
3700 STATE ST STE 230, SANTA BARBARA, CA 93105
TEMPLETON, CA
Registered with this firm since 6/29/2023

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
3700 STATE ST STE 230, SANTA BARBARA, CA 93105
TEMPLETON, CA
Registered with this firm since 8/13/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/13/2008 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) Templeton, CA
IA
08/24/2007 - 08/13/2008 PENSION PLANNERS SECURITIES, INC. (CRD#:14068) SANTA BARBARA, CA
B
02/10/2003 - 08/13/2008 PENSION PLANNERS SECURITIES, INC. (CRD#:14068) SANTA BARBARA, CA
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.