Jon D. Shandorf
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.
Jon David Shandorf was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1984. Jon had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, 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 - February 1, 2016
CETERA INVESTMENT ADVISERS LLC
December 14, 2006 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
December 13, 2006 - February 1, 2016
CETERA INVESTMENT SERVICES LLC
February 19, 2003 - December 15, 2006
FINTEGRA, LLC
February 3, 2000 - December 15, 2006
FINTEGRA, LLC
February 18, 1998 - February 2, 2000
AFS BROKERAGE, INC.
October 4, 1996 - February 18, 1998
AEGON USA SECURITIES INC.
August 19, 1996 - September 30, 1996
WELLS FARGO SECURITIES INC.
October 26, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
December 18, 1984 - October 23, 1995
WADDELL & REED
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
