JW
John H. Wygal
CETERA INVESTMENT ADVISERS LLC
NORWALK, CT 06851
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CRD#: 1325548
JW
Professional summary
John Horsley Wygal is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Norwalk, Connecticut and CETERA WEALTH SERVICES, LLC located in Norwalk, Connecticut.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 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: FIRST CONGREGATIONAL CHURCH OF DARIEN ; INVESTMENT RELATED: NO; ADDRESS: 14 BROOKSIDE RD DARIEN, CT 06820; NATURE OF BUSINESS: RELIGIOUS; START DATE: 6/2017; POSITION/TITLE/RELATIONSHIP: CHURCH COUNCIL MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: VOTE ON MATTERS OF IMPORTANCE WITHIN THE CHURCH; 2) NAME OF ENTITY: John H Wygal & Co, LLC; Yes; 161 EAST AVE STE 103; NORWALK; CT; 6851; DBA; co-owner; 9/2/2008; 200; 200; DBA for sale of securities and insurance products.| 3) NAME OF ENTITY:LIFE SETTLEMENT; No; 161 East Ave(my address); Norwalk; CT; 06851; LIFE SETTLEMENT; INDEPENDENT INSURANCE AGENT; 6/20/2019; 1; 1; PROVIDE LIFE SETTLEMENT PRODUCTS.|
CRS (Client Relationship Summary) - RIA
Click below to view John Horsley Wygal'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 161 East Avenue Suite 103, Norwalk, CT 06851RIA
CRD#: 105644
NORWALK, CT
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 161 East Avenue Suite 103, Norwalk, CT 06851BD
CRD#: 13572
Norwalk, CT
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 28, 2011 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
NORWALK, CT
Past
June 30, 2000 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
NORWALK, CT
Past
July 2, 1999 - July 6, 2000
LIFEMARK SECURITIES CORP.
BD
CRD#: 16204
ROCHESTER, NY
Past
April 13, 1992 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
April 13, 1992 - May 25, 1999
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
March 19, 1985 - January 20, 1992
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
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
Connecticut(6/9/2021)
IAR
Connecticut(6/29/2023)
RR
New York(6/9/2021)
RR
South Carolina(1/2/2025)
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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Norwalk, CT 06851TRUST BUT VERIFY
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