John E. Simpson
Professional summary
John Edward Dudley Simpson is a registered financial professional currently at CETERA ADVISORS LLC located in Coral Springs, Florida.
John is registered as a RR (Registered Representative) and started their career in finance in 1982. John has worked at 13 firms and has passed the Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Edward Dudley Simpson's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2011 - Present
CETERA ADVISORS LLC
Office #1: 210 N University Dr Ste 100, Coral Springs, FL 33071November 10, 2004 - February 11, 2011
QA3 FINANCIAL CORP.
December 9, 2002 - September 16, 2004
OSAIC WEALTH, INC.
December 2, 2002 - December 3, 2002
OSAIC WEALTH, INC.
October 22, 1999 - December 2, 2002
PRIME CAPITAL SERVICES, INC.
July 16, 1998 - October 28, 1999
IDS LIFE INSURANCE COMPANY
July 16, 1998 - October 28, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
December 16, 1989 - May 8, 1990
LPL FINANCIAL LLC
May 22, 1989 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
September 21, 1987 - August 20, 1988
AMERICAN PACIFIC SECURITIES CORPORATION
November 4, 1986 - November 10, 1987
MONEY CONCEPTS CAPITAL CORP
February 15, 1985 - May 16, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
May 18, 1984 - February 19, 1985
CADARET, GRANT & CO., INC.
October 1, 1982 - June 27, 1984
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/15/2011)
Exams
Series 6TO
Date: 9/25/2025
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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 ADVISORS LLC
CRD#: 10299Coral Springs, FL 33071TRUST BUT VERIFY
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