John D. Foley
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 David Foley, CFP®, who also goes by John David Foley Sr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2000
Experience
June 29, 2023 - July 23, 2026
CETERA INVESTMENT ADVISERS LLC
January 31, 2019 - June 29, 2023
CETERA WEALTH SERVICES, LLC
January 31, 2019 - July 23, 2026
CETERA WEALTH SERVICES, LLC
November 4, 2013 - February 20, 2019
IPI WEALTH MANAGEMENT, INC.
November 4, 2013 - February 20, 2019
INVESTMENT PLANNERS, INC.
June 6, 2006 - November 1, 2013
FIRST ADVISORS FINANCIAL GROUP, LLC
February 24, 2006 - November 21, 2013
LPL FINANCIAL LLC
February 24, 2006 - November 21, 2013
LPL FINANCIAL LLC
August 27, 2003 - August 4, 2004
APW CAPITAL, INC.
August 27, 2003 - April 11, 2006
FIRST ADVISORS FINANCIAL GROUP, LLC
August 27, 2003 - March 2, 2006
APW CAPITAL, INC.
March 18, 1999 - September 9, 2003
LPL FINANCIAL LLC
March 5, 1999 - September 9, 2003
LPL FINANCIAL LLC
October 24, 1984 - March 15, 1999
PRUCO SECURITIES, LLC.
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 |
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.
