John J. Johnson
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 Joseph Johnson SR, who also goes by John Joseph Johnson, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 21 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2020 - December 31, 2022
CETERA WEALTH SERVICES, LLC
October 15, 2020 - December 31, 2022
CETERA WEALTH SERVICES, LLC
November 27, 2017 - October 20, 2020
KESTRA ADVISORY SERVICES, LLC
November 27, 2017 - October 20, 2020
KESTRA INVESTMENT SERVICES, LLC
November 15, 2012 - November 27, 2017
SII INVESTMENTS, INC.
November 15, 2012 - November 27, 2017
SII INVESTMENTS, INC.
December 11, 2009 - November 20, 2012
WOODBURY FINANCIAL SERVICES, INC.
July 20, 2009 - November 20, 2012
WOODBURY FINANCIAL SERVICES, INC.
February 20, 2002 - July 22, 2009
PACKERLAND BROKERAGE SERVICES, INC.
April 3, 1998 - February 20, 2002
THE O.N. EQUITY SALES COMPANY
December 9, 1997 - March 30, 1998
EQUITY SERVICES, INC.
March 20, 1995 - December 11, 1997
SII INVESTMENTS, INC.
January 23, 1995 - March 20, 1995
CFD INVESTMENTS, INC.
January 4, 1995 - March 27, 1995
ONEAMERICA SECURITIES, INC.
January 4, 1995 - January 16, 1998
AMERICAN UNITED LIFE INSURANCE COMPANY
December 2, 1992 - December 16, 1994
MONY SECURITIES CORPORATION
April 20, 1990 - December 1, 1992
CARILLON INVESTMENTS, INC.
January 3, 1990 - April 24, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 3, 1990 - April 24, 1990
SIGNATOR INVESTORS, INC.
November 9, 1987 - December 8, 1989
THE O.N. EQUITY SALES COMPANY
May 8, 1987 - November 24, 1987
WOODBURY FINANCIAL SERVICES, INC.
December 18, 1986 - November 4, 1987
RELIASTAR FINANCIAL MARKETING CORP.
April 28, 1986 - November 16, 1987
TITAN/VALUE EQUITIES GROUP, INC.
August 15, 1985 - April 29, 1986
FIRST AMERICA EQUITIES CORP.
February 21, 1985 - October 21, 1986
TNE INVESTMENT SERVICES CORPORATION
September 6, 1984 - August 26, 1985
INVESTACORP, INC.
June 28, 1983 - September 24, 1984
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 19, 1983 - September 12, 1984
FIRST SECURITIES CO. OF MANITOWOC 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
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| 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 | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
