JH
John M. Henderlite
CETERA INVESTMENT ADVISERS LLC
SALISBURY, NC 28144
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CRD#: 1030870
JH
Professional summary
John Max Henderlite JR is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Salisbury, North Carolina and CETERA WEALTH SERVICES, LLC located in Salisbury, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
NAME OF ENTITY:; No; 120 E COUNCIL STREET; SALISBURY; NC; 28144; commercial real estate office building rentals; none-silent partner; 1/1/1997; 0; 0; none - silent partner|NAME OF ENTITY: Independent Insurance Agent; Yes; 225 N MAIN STREET; SALISBURY; NC; 28144; Fixed insurance Sales; Independent Insurance Agent; 11/28/2012; 160; 160; Sales of Fixed Insurance Products|NAME OF ENTITY:CATAWBA FOUNDATION INC (CFI); No; 2300 W INNES ST; SALISBURY; NC; 28144; NON PROFIT ORGANIZATION; BOARD MEMBER; 11/15/2014; 1; 1; CFI SHALL SERVE AS A FIDUCIARY FOR GIFTS, INCLUDING REAL ESTATE AND BUSINESS INTERESTS, AND WORK IN COOPERATION WITH THE CATAWBA COLLEGE DEVELOPMENT OFFICE IN ITS EFFORTS TO CREATE AN ENVIRONMENT CONDUCIVE TO INCREASING LEVELS OF PRIVATE SUPPORT.|NAME OF ENTITY:Henderlite Financial Services, LLC; No; 225 N. Main St., Suite 408; Salisbury; NC; 28144; FIXED INSURANCE DBA; owner; 10/21/2019; 8; 8; SALE AND SERVICE FIXED INSURANCE PRODUCTS|
CRS (Client Relationship Summary) - RIA
Click below to view John Max Henderlite JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 225 N Main Street Ste 408, Salisbury, NC 28144RIA
CRD#: 105644
SALISBURY, NC
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 225 N Main Street Ste 408, Salisbury, NC 28144BD
CRD#: 13572
Salisbury, NC
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
December 5, 2012 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
SALISBURY, NC
Past
November 28, 2012 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
SALISBURY, NC
Past
June 20, 2007 - December 5, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
SALISBURY, NC
Past
May 29, 2002 - December 5, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
SALISBURY, NC
Past
June 4, 1996 - June 7, 2002
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
January 4, 1989 - May 31, 1996
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
October 28, 1988 - December 31, 1988
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
February 21, 1986 - November 17, 1988
FOCUS SECURITIES, INC.
BD
CRD#: 15023
Past
January 10, 1983 - February 5, 1986
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
Past
April 26, 1982 - February 2, 1983
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/9/2021)
RR
Colorado(6/9/2021)
RR
Connecticut(4/20/2022)
RR
District of Columbia(5/28/2024)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Massachusetts(4/30/2024)
RR
Missouri(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
IAR
North Carolina(6/29/2023)
RR
Ohio(10/22/2024)
RR
South Carolina(6/9/2021)
RR
Tennessee(3/17/2025)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Virginia(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
