JN
John L. Nielsen
CETERA INVESTMENT ADVISERS LLC
WESTLAKE VILLAGE, CA 91362
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CRD#: 1279737
JN
Professional summary
John Lamar Nielsen, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westlake Village, California and CETERA WEALTH SERVICES, LLC located in Westlake Village, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) NAME OF OTHER BUSINESS: INSURANCE INVESTMENT RELATED: YES NATURE OF BUSINESS: SALE OF FIXED INSURANCE (LIFE, ANNUITIES, LONG-TERM CARE), POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, START DATE: 01/31/2008, BRIEF DESCRIPTION OF DUTIES: SALE OF VARIOUS INSURANCE COMPANIES AS REPRESENTATIVE; 2) NAME OF OTHER BUSINESS: RPA UT LLC DBA RETIREMENT PLANNING ASSOCIATES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: MANAGER/FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 6; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) NAME OF OTHER BUSINESS: RPA AERO LLC; INVESTMENT RELATED: NO; ADDRESS: PO BOX 1346 RIVERTON, UT 84065; NATURE OF BUSINESS: EQUIPMENT LEASING; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: MANAGER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OPERATIONAL AND ACCOUNTING DUTIES;
CRS (Client Relationship Summary) - RIA
Click below to view John Lamar Nielsen's 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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 200 N Westlake Blvd Ste 111, Westlake Village, CA 91362RIA
CRD#: 105644
WESTLAKE VILLAGE, CA
Current
March 3, 2008 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2945 Townsgate Road Suite 200, Westlake Village, CA 91362BD
CRD#: 13572
WESTLAKE VILLAGE, CA
Past
March 4, 2008 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BLUFFDALE, UT
Past
July 8, 1997 - February 29, 2008
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
WESTLAKE VILLAGE, CA
Past
November 18, 1988 - February 29, 2008
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
WESTLAKE VILLAGE, CA
Past
July 26, 1984 - December 5, 1988
BOARDWALK CAPITAL CORPORATION
BD
CRD#: 10279
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Alabama(8/27/2018)
RR
Arizona(3/3/2008)
RR
California(3/4/2008)
IAR
California(6/29/2023)
RR
Colorado(6/22/2021)
RR
Connecticut(3/3/2008)
RR
Florida(3/3/2008)
RR
Georgia(7/18/2023)
RR
Idaho(5/22/2017)
RR
Massachusetts(3/3/2008)
RR
Nevada(3/3/2008)
RR
New Mexico(12/26/2023)
RR
North Carolina(10/20/2022)
RR
Pennsylvania(3/3/2008)
RR
South Carolina(7/23/2020)
RR
Texas(1/10/2020)
IAR
Texas(6/29/2023)
RR
Utah(7/22/2020)
IAR
Utah(7/31/2023)
RR
Washington(3/3/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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.
