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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

JOANNE DE PALMA

Advisor at CETERA INVESTMENT ADVISERS LLC

Bloomfield, CT

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Search this name across graphsid dfx:ria:9a4f2306-e363-5e25-4cbd-acbf4c595b2c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 7, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 12, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Apr 12, 2000
First registration: Feb 7, 2001
Dual registered: yes, broker-dealer
Other names: JOANNE FRAULO
IAPD individual key: 4150850

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	Bloomfield, CT	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Aug 14, 2014	Jan 30, 2015	no	NEW HAVEN, CT	Previous registration
MARCUM FINANCIAL SERVICES LLC	n/a	Jul 30, 2014	Aug 14, 2014	no	NEW HAVEN, CT\|MELVILLE, NY\|New Haven, CT\|HARTFORD, CT\|GREENWICH, CT	Previous registration
DIASTOLE WEALTH MANAGEMENT	Independent wealth	May 8, 2012	May 2, 2014	no	GUILFORD, CT	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Feb 7, 2001	May 24, 2012	no	GUILFORD, CT\|EAST HAVEN, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	CETERA INVESTMENT ADVISERS LLC	Jan 30, 2015	Jun 29, 2023	3,072	Firm change after gap	Other
MARCUM FINANCIAL SERVICES LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Aug 14, 2014	Aug 14, 2014	0	Firm change	Other
DIASTOLE WEALTH MANAGEMENT	MARCUM FINANCIAL SERVICES LLC	May 2, 2014	Jul 30, 2014	89	Firm change	Other
CETERA INVESTMENT ADVISERS LLC	DIASTOLE WEALTH MANAGEMENT	May 24, 2012	May 8, 2012	-16	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Feb 7, 2001 to May 24, 2012factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Aug 14, 2014 to Jan 30, 2015factForm ADV
→ MARCUM FINANCIAL SERVICES LLCRegistered adviserregistration: previous registration
Jul 30, 2014 to Aug 14, 2014factForm ADV
→ DIASTOLE WEALTH MANAGEMENTRegistered adviserregistration: previous registration
May 8, 2012 to May 2, 2014factForm ADV

Dated events

No dated event names this entity yet.