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Detailed Report
Joseph Anthony Pezzo
Joe Pezzo, Joseph Pezzo
CRD#: 6955817
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 80 Business Park Drive Suite 207
Armonk, NY 10504
CETERA ADVISOR NETWORKS LLCCRD#: 13572 80 Business Park Drive Suite 207
Armonk, NY 10504
Registration History
2018201920202021202220232024202520262 FIRMS2025 - Present (<1 year)BEQUITY SERVICES, INC. (CRD# 265)2019 - 2025 (5 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2018 - 2018 (<1 year)IAESI FINANCIAL ADVISORS (CRD# 265)2021 - 2025 (3 years)
License(s)

State Registrations

B
California 1/29/2025
B
New Jersey 1/29/2025
B
Colorado 1/29/2025
B
New York 1/29/2025
B
Connecticut 1/29/2025
IA
New York 1/29/2025
B
Florida 1/29/2025
B
North Carolina 1/29/2025
B
Indiana 1/29/2025
B
Texas 1/29/2025
B
Michigan 1/29/2025
IA
Texas 1/29/2025

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)
80 Business Park Drive Suite 207, Armonk, NY 10504
Registered with this firm since 1/29/2025
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
80 Business Park Drive Suite 207, Armonk, NY 10504
Registered with this firm since 1/29/2025
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/06/2021 - 02/18/2025 ESI FINANCIAL ADVISORS (CRD#:265) ARMONK, NY
B
 05/30/2019 - 02/18/2025 EQUITY SERVICES, INC. (CRD#:265) ARMONK, NY
B
 09/28/2018 - 12/03/2018 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) Stamford, CT
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.