John B. Tisthammer
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 Barrett Tisthammer was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 6 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
January 21, 2014 - December 31, 2014
CETERA INVESTMENT ADVISERS LLC
September 6, 2007 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
May 10, 2000 - December 31, 2014
CETERA INVESTMENT SERVICES LLC
October 14, 1998 - May 10, 2000
GUARANTY BROKERAGE SERVICES, INC.
May 21, 1984 - February 4, 1994
FIRST COMMAND BROKERAGE SERVICES, INC.
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
Current 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.
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