JG
John Giancaterino
CETERA INVESTMENT ADVISERS LLC
WHITEHALL, PA 18052
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CRD#: 1041485
JG
Professional summary
John Giancaterino JR, who also goes by John Giancaterino, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Whitehall, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Whitehall, Pennsylvania.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. John has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Giancaterino
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. NAME OF ENTITY:GIANCATERINO AND ASSOCIATES, LLC; Yes; 881 3RD ST STE A7; WHITEHALL; PA; 18052; LLC / DBA; OWNER; 4/1/2011; 84; 84; DBA / PASS THROUGH ENTITY FOR THE SALE OF SECUTIRIES THROUGH ING FINANCIAL PARTNERS 2. NAME OF ENTITY:Giancaterino and Associates; Yes; 881 3RD ST STE A7; WHITEHALL; PA; 18052; DBA; owner; 10/1/2004; 80; 80; DBA for insurance and securities 3. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 881 3RD ST STE A7; WHITEHALL; PA; 18052; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/2/2008; 32; 32; SALES OF FIXED INSURANCE PRODUCTS 4. NAME OF ENTITY:LIFE SETTLEMENT; No; 881 3RD ST; WHITEHALL; PA; 18052; LIFE SETTLEMENT; INDEPENDENT INSURANCE AGENT; 5/6/2009; 5; 5; SELLING LIFE SETTLEMENTS; 5. NAME OF OTHER BUSINESS: WEALTHWORKS FINANCIAL, LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view John Giancaterino 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: 881 3rd St, Whitehall, PA 18052RIA
CRD#: 105644
WHITEHALL, PA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 881 3rd St, Whitehall, PA 18052BD
CRD#: 13572
Whitehall, PA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 26, 2006 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
WHITEHALL, PA
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WHITEHALL, PA
Past
December 10, 1998 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
June 10, 1997 - July 27, 1998
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
September 30, 1994 - March 5, 1997
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
August 15, 1983 - October 14, 1994
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 15, 1983 - October 14, 1994
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
Delaware(6/9/2021)
RR
Florida(9/20/2024)
RR
Indiana(6/9/2021)
RR
Maryland(4/25/2022)
RR
New Jersey(6/9/2021)
RR
New York(1/9/2023)
RR
North Carolina(6/9/2021)
RR
Pennsylvania(6/9/2021)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(6/9/2021)
RR
West Virginia(10/13/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Whitehall, PA 18052TRUST BUT VERIFY
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