John J. Avey
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 Jacob Avey, who also goes by John Jacob Avey III, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 5, Series 7, Series 53, Series 27 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
June 29, 2023 - November 4, 2024
CETERA INVESTMENT ADVISERS LLC
April 20, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
April 20, 2022 - November 4, 2024
CETERA WEALTH SERVICES, LLC
March 15, 2016 - April 20, 2022
FFEC WEALTH PARTNERS LLC
January 19, 2016 - April 20, 2022
FFEC WEALTH PARTNERS LLC
November 2, 2004 - January 22, 2016
BOK FINANCIAL SECURITIES, INC.
May 6, 2004 - January 22, 2016
BOK FINANCIAL SECURITIES, INC.
March 19, 1999 - November 2, 2004
CSB INVESTMENTS CO.
March 4, 1994 - October 6, 2004
CSB INVESTMENTS CO.
September 3, 1993 - January 25, 1994
APEX CLEARING CORPORATION
February 25, 1985 - May 3, 1993
MORGAN STANLEY DW INC.
May 26, 1983 - February 1, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 6/3/1983
Interest Rate Options ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
