John M. Lefferts

CETERA INVESTMENT ADVISERS LLC

SAN DIEGO, CA 92101

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CRD#: 1054988

Professional summary

John Michael Lefferts, CFP®, who also goes by John Michael Lefferts, John Lefferts, Lefferts, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA INVESTMENT SERVICES LLC located in San Diego, California.

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 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 62, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Michael Lefferts | John Lefferts | Lefferts

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.

POA FOR PARENTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Lefferts's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

June 17, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101

RIA

CRD#: 105644

SAN DIEGO, CA

Current

June 17, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101

CRD#: 15340

SAN DIEGO, CA

Past

February 21, 2019 - May 1, 2025

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SAN DIEGO, CA

Past

December 24, 2018 - May 1, 2025

EQUITABLE ADVISORS, LLC

CRD#: 6627

SAN DIEGO, CA

Past

August 13, 2013 - December 11, 2013

LION STREET FINANCIAL, LLC

CRD#: 165828

DALLAS, TX

Past

August 12, 2013 - December 11, 2013

LION STREET ADVISORS, LLC

RIA

CRD#: 167610

DALLAS, TX

Past

December 20, 2010 - May 31, 2012

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

DALLAS, TX

Past

December 20, 2010 - May 31, 2012

M HOLDINGS SECURITIES, INC.

CRD#: 43285

DALLAS, TX

Past

February 27, 2002 - July 23, 2003

PARAMOUNT PLANNERS, LLC

CRD#: 108437

NEW YORK, NY

Past

June 8, 1989 - January 28, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

HOUSTON, TX

Past

August 23, 1982 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

August 23, 1982 - January 28, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

HOUSTON, TX

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

California
(6/17/2025)

California
(6/18/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/8/2018

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/27/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1998

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 2/12/1990

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 3/12/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 8/19/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/15/2019

General Securities Principal Examination

SRO Registrations

FINRA

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

John M. Lefferts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Lefferts's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

LION STREET FINANCIAL, LLC

LION STREET ADVISORS, LLC

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

PARAMOUNT PLANNERS, LLC

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/8/2018

Series 65

Date: 1/27/1997

Series 63

Date: 6/5/1989

SIE

Date: 12/25/2018

Series 7

Date: 8/20/1998

Series 62

Date: 2/12/1990

Series 22

Date: 3/12/1984

Series 6

Date: 8/19/1982

Series 24

Date: 4/15/2019

FINRA

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

Contact information

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