John A. Dunwoody

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CRD#: 1019217

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Andrew Dunwoody was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1981. John had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) ACP COMPENSATION PLANNING, DBA DUNWOODY; 01/29/1981; SAME AS BRANCH ADDRESS; PRESIDENT, TREASURER, SECRETARY; PENSION AND FINANCIAL SERVICES; Full 100% control over 100% of corporate activities, including check writing; 160 HOURS SPENT ON ACTIVITY PER MONTH; 8 HOURS SPENT ON ACTIVITY DURING TRADING HOURS PER MONTH (2) NAME OF OTHER BUSINESS: ACP COMPENSATION PLANNING INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LEGAL START DATE: 08/1975 POSITION/TITLE/RELATIONSHIP: LAWYER LESS THAN 1 HOUR PER WEEK, MAY BE DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: REVIEW AND DRAFT PENSION DOCUMENTS. REPRESENTS CORPORATE QUALIFIED CLIENTS BEFORE IRA AND DOL. (3) NAME OF OTHER BUSINESS: MICHIGAN SQUASH AKA MICHIGAN SQUASH RACQUETS ASSOCIATION INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: NON-PROFIT START DATE: 02/2017 POSITION/TITLE/RELATIONSHIP: TREASURER LESS THAN 1 HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MAINTAIN BOOKS AND RECORDS; (4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION , NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 04/2024, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 29, 2023 - August 26, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

GROSSE POINTE PARK, MI

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

GROSSE POINTE PARK, MI

Past

September 20, 2019 - August 26, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

GROSSE POINTE PARK, MI

Past

November 17, 2010 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

GROSSE POINTE PARK, MI

Past

February 18, 2010 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

GROSS POINTE PRAK, MI

Past

March 7, 2001 - February 26, 2010

LPL FINANCIAL LLC

CRD#: 6413

GROSSE POINTE PARK, MI

Past

January 9, 1995 - March 9, 2001

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

July 15, 1987 - December 31, 1994

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

December 11, 1981 - December 10, 1986

NEW ENGLAND SECURITIES

CRD#: 615

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/2/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/25/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/25/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/20/2009

General Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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John A. Dunwoody

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

LPL FINANCIAL LLC

VESTAX SECURITIES CORPORATION

MUTUAL SERVICE CORPORATION

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/2/2010

Series 63

Date: 11/25/1981

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1983

Series 6

Date: 11/25/1981

Series 24

Date: 4/20/2009

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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