JF
John W. Ferguson
CETERA INVESTMENT ADVISERS LLC
COLORADO SPRINGS, CO 80919
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CRD#: 1467078
JF
Professional summary
John Wayne Ferguson JR, AIF®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado and CETERA WEALTH SERVICES, LLC located in Colorado Springs, Colorado.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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. SFP FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/1985 ADDRESS: , Colorado Springs CO , United States DESCRIPTION: Agent/Broker 2. SCIF ADVISORY BOARD POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 08/07/2020 ADDRESS: SCI Foundation, 4800 W. Gates Pass Rd, Tucson AZ 85745, United States DESCRIPTION: As aSCIF Advisory Board Member I will be asked to respond to key issues as presented by the SCI Foundation Board for discussion. It is a two-year term. I will be asked to participate, "when I can" on four conference calls and will attend one Board Meeting at the SCI Annual Convention each year. The Advisory Board has no legal responsibilities and has no ability to enter contracts or compel staff to act on its recommendations or feedback; 3. NAME OF OTHER BUSINESS: STRATEGIC FINANCIAL PARTNERS; INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: S-CORP, START DATE: 2/2004, POSITION/TITLE/RELATIONSHIP: PRESIDENT/CEO/OWNER; APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: RENEWING SFP'S BUSINESS IN GOOD STANDING WITH THE STATE OF COLORADO ANNUALLY & SERVING AS THE CORPORATIONS TRUSTEE OF THE 401(K) PROFIT-SHARING PLAN, (SIGNING ANNUAL FORM 5500); 4. NAME OF OTHER BUSINESS: FERGUSON FARMS LLLP; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FAMILY FARM; START DATE: 1/2015; POSITION/TITLE/RELATIONSHIP: GENERAL PARTNER/PARTIAL OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RECREATIONAL FAMILY FARM THAT IS ALSO USED BY LOCAL FARMERS FOR GROWING CROPS; 5. NAME OF OTHER BUSINESS: IMG FINANCIAL GROUP, INC.; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 10, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 6. NAME OF OTHER BUSINESS: STRATEGIC FINANCIAL PARTNERS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 2/2004, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view John Wayne Ferguson JR'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7222 Commerce Ctr Dr Ste 108, Colorado Springs, CO 80919RIA
CRD#: 105644
COLORADO SPRINGS, CO
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
COLORADO SPRINGS, CO
Past
March 1, 2007 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
COLORADO SPRINGS, CO
Past
March 1, 2007 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
COLORADO SPRINGS, CO
Past
April 1, 2004 - February 28, 2007
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
COLORADO SPRINGS, CO
Past
April 1, 2004 - February 28, 2007
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
COLORADO SPRINGS, CO
Past
January 1, 1999 - March 1, 2004
NEW ENGLAND SECURITIES
RIA
CRD#: 615
COLORADO SPRINGS, CO
Past
April 7, 1995 - March 1, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
February 27, 1987 - April 6, 1995
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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
Alaska(8/10/2023)
RR
California(1/2/2025)
RR
Colorado(8/10/2023)
IAR
Colorado(8/10/2023)
RR
Georgia(8/10/2023)
RR
Idaho(1/3/2024)
RR
Indiana(8/10/2023)
RR
Kansas(8/10/2023)
RR
Minnesota(8/10/2023)
RR
Missouri(8/10/2023)
RR
Nevada(8/10/2023)
RR
New Mexico(1/2/2025)
RR
North Carolina(1/2/2025)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Washington(8/10/2023)
RR
Wisconsin(6/27/2024)
RR
Wyoming(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Colorado Springs, CO 80919TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
