Adviser and broker representative · Cetera Investment Advisers LLC
Joan Tozer
CRD 4601539 · Santa Barbara, CA
At a glance
Joan Tozer is an investment adviser representative with Cetera Investment Advisers LLC in Santa Barbara, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Joan’s SEC record dates to 2007, about 19 years ago. Joan is also registered as a broker representative.
Current advisory firm
- Cetera Investment Advisers LLCSince June 2023Santa Barbara, CA · $257B in regulatory assets
SEC adviser record
- Registered since
- 2007 (19 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
Joan’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.