JW
John E. Willse
CETERA INVESTMENT ADVISERS LLC
WILMINGTON, NC 28403
Some features on this profile are disabled
CRD#: 1371115
JW
Professional summary
John Emerson Willse, who also goes by John Emerson Willse III, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wilmington, North Carolina and CETERA ADVISORS LLC located in Wilmington, North Carolina.
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 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Emerson Willse Iii
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.FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; FIXED INSURANCE; START 3/2015; 8 HOURS/WEEK; VARIES DURING TRADING HOURS; INSURANCE AGENT; SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG TERM CARE. 2.NABELL WINSLOW INVESTMENTS & WEALTH MANAGEMENT, NABELL WINSLOW INSURANCE; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; INVESTMENT MANAGEMENT AND INSURANCE SALES; START 03/2015; HOURS/WEEK NOT DISCLOSED; INVESTMENT ADVISOR REPRESENTATIVE 3. LIFE SETTLEMENT BUSINESS, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, LIFE SETTLEMENTS, START 3/2015, LESS THAN 1 HOUR PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT, SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC. 4. PARTNERS SQUARE LLC, INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; INSURANCE MARKETING ORGANIZATION; START 7/2015; 5-10 HOURS/WEEK DURING SECURITY TRADING HOURS; OWNER/OPERATIONS; 5. NAME OF OTHER BUSINESS: NABELL WINSLOW INVESTMENTS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 09/2013, TITLE: FINANCIAL PROFESSIONAL; APX # OF HRS/WK: 40, APX # OF HRS DURING TRADING HRS: 32.5, DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 6. NAME OF OTHER BUSINESS: NABELL WINSLOW WEALTH MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 09/2013; TITLE: FINANCIAL PROFESSIONAL; APX # OF HRS/WK: 40, APX # OF HRS DURING TRADING HRS: 32.5, DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 7. NAME OF OTHER BUSINESS: Masonboro Capital Group, LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 09/2013, TITLE: FINANCIAL PROFESSIONAL; APX # OF HRS/WK: 40, APX # OF HRS DURING TRADING HRS: 32.5, DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 8. NAME OF OTHER BUSINESS: NABELL WINSLOW LIFE INSURANCE; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 09/2013, TITLE: FINANCIAL PROFESSIONAL; APX # OF HRS/WK: 40, APX # OF HRS DURING TRADING HRS: 32.5, DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view John Emerson Willse'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 219 Racine Dr Ste A-1, Wilmington, NC 28403RIA
CRD#: 105644
WILMINGTON, NC
Current
March 20, 2015 - Present
CETERA ADVISORS LLC
Office #1: 219 Racine Dr Ste A-1, Wilmington, NC 28403BD
CRD#: 10299
Wilmington, NC
Past
March 20, 2015 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
May 16, 2014 - March 20, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
RALEIGH, NC
Past
April 15, 2014 - March 20, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
RALEIGH, NC
Past
September 9, 2009 - March 26, 2014
TLG ADVISORS, INC.
RIA
CRD#: 111052
HAMPSTEAD, NC
Past
August 27, 2009 - March 26, 2014
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
May 21, 2009 - September 9, 2009
CANTELLA & CO., INC.
RIA
CRD#: 13905
WILMINGTON, NC
Past
May 21, 2009 - September 9, 2009
CANTELLA & CO., INC.
BD
CRD#: 13905
WILMINGTON, NC
Past
June 6, 2007 - May 21, 2009
TLG ADVISORS, INC.
RIA
CRD#: 111052
HAMPSTEAD, NC
Past
June 6, 2007 - May 20, 2009
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
October 11, 2005 - June 5, 2007
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
HAMPSTEAD, NC
Past
October 11, 2005 - June 5, 2007
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
HAMPSTEAD, NC
Past
July 9, 2004 - October 12, 2005
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
June 25, 2001 - September 6, 2002
HARRIS FINANCIAL SERVICES, LLC
BD
CRD#: 104799
CHARLOTTE, NC
Past
February 3, 1999 - July 13, 2004
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
December 15, 1997 - March 8, 1999
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
October 21, 1997 - December 9, 1997
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
August 17, 1995 - October 17, 1997
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
September 13, 1993 - May 2, 1995
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
July 28, 1988 - August 2, 1993
C.A.L. INVESTMENT SERVICES INC.
BD
CRD#: 15642
SASKATCHEWAN S4P 3B1,
Past
April 14, 1987 - July 7, 1987
MID-ATLANTIC SECURITIES, INC.
BD
CRD#: 18836
Past
May 31, 1985 - January 13, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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
Georgia(9/28/2021)
RR
Maryland(10/18/2017)
RR
Michigan(3/1/2024)
RR
New Jersey(7/23/2025)
RR
New Mexico(7/25/2023)
RR
North Carolina(3/23/2015)
IAR
North Carolina(3/21/2024)
RR
Oregon(5/5/2016)
RR
South Carolina(2/8/2017)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Wilmington, NC 28403TRUST BUT VERIFY
Monitor John Willse
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
