John V. Young
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 Vallance Young III, who also goes by Johann Young, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 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
April 25, 2014 - January 2, 2015
CETERA ADVISORS LLC
February 18, 2011 - April 14, 2014
CETERA ADVISORS LLC
February 18, 2011 - January 2, 2015
CETERA ADVISORS LLC
September 25, 2009 - January 31, 2011
B.B. GRAHAM & COMPANY, INC.
September 25, 2009 - January 31, 2011
B.B. GRAHAM & COMPANY, INC.
June 11, 2008 - December 2, 2009
DOLPHIN SECURITIES, INC.
April 8, 2008 - June 13, 2008
QUEST CAPITAL STRATEGIES, INC.
April 12, 2006 - June 13, 2008
QUEST CAPITAL STRATEGIES, INC.
April 5, 2002 - January 3, 2005
DUNHAM
April 4, 2002 - January 3, 2005
DUNHAM
June 3, 1996 - April 4, 2002
BRECEK & YOUNG ADVISORS, INC.
January 26, 1994 - August 2, 1996
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 7, 1993 - December 13, 1993
IDS LIFE INSURANCE COMPANY
December 7, 1993 - December 13, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
August 12, 1992 - November 23, 1993
MAIN STREET MANAGEMENT COMPANY
June 30, 1989 - August 19, 1992
LFG SECURITIES, INC.
March 11, 1988 - May 23, 1989
CUNA BROKERAGE SERVICES, INC.
November 10, 1987 - February 16, 1988
METLIFE INVESTORS DISTRIBUTION COMPANY
February 13, 1985 - September 25, 1987
CETERA WEALTH SERVICES, LLC
February 24, 1984 - December 26, 1984
BOARDWALK CAPITAL CORPORATION
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
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.
