JC
John M. Cartolano
NETVEST FINANCIAL, L.L.C.
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 1673541
JC
Professional summary
John Michael Cartolano JR, who also goes by John Michael Cartolano, is a registered financial advisor currently at NETVEST FINANCIAL, L.L.C. located in Scottsdale, Arizona and CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona.
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 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 62, Series 22, Series 52, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Michael Cartolano
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: NETVEST FINANCIAL, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT ALSO PROVIDES TRUSTS SERVICES POSITION/TITLE/RELATIONSHIP: OWNER START DATE: 07/2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OWNER, INVESTMENT ADVISORY REPRESENTATIVE; OFFER TRUST AND ESTATE SERVICES THROUGH TRUSTS AND BEYOND 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2020 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND HEALTH 3. NAME OF OTHER BUSINESS: NETVEST FINANCIAL, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/1996 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: CHAIRMAN/ CEO - PROVIDE FINANCIAL SERVICES 4. NAME OF OTHER BUSINESS: NETDOCX, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DOCUMENT PREPARATION START DATE: 01/2018 POSITION/TITLE/RELATIONSHIP: PRESIDENT / CEO APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 BRIEF DESCRIPTION OF DUTIES: OWNER 5. NAME OF OTHER BUSINESS: NETTAX, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX PREPARATION START DATE: 01/2018 POSITION/TITLE/RELATIONSHIP: PRES / CEO APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: OWER 6. NAME OF OTHER BUSINESS: INTEGRATED TRUST SYSTEMS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TRUST DOCUMENT PROVIDER START DATE: 01/2000 POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: REPRESENTATIVE 7. NAME OF OTHER BUSINESS: JMC FAMILY HOLDINGS, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE HOLDING START DATE: 01/2011 POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: MANAGING MEMBER; 8. NAME OF OTHER BUSINESS: NETVEST FINANCIAL, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TRUSTEE SERVICES FOR CLIENT START DATE: 8/2022; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: ACT AS TRUSTEE OF CLIENT'S HOUSEHOLD IN ORDER TO DISTRIBUTE ASSETS AT CLIENT'S DEATH;
CRS (Client Relationship Summary) - RIA
Click below to view John Michael Cartolano 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®
NoneExperience
Current
March 27, 2017 - Present
NETVEST FINANCIAL, L.L.C.
Office #1: 9059 E. Bahia Drive, Scottsdale, AZ 85260RIA
CRD#: 170100
Scottsdale, AZ
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9059 E Bahia Dr, Scottsdale, AZ 85260RIA
CRD#: 105644
SCOTTSDALE, AZ
Current
March 2, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 9059 E Bahia Dr, Scottsdale, AZ 85260BD
CRD#: 13572
Scottsdale, AZ
Past
March 22, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BOCA RATON, FL
Past
March 3, 2020 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
SCOTTSDALE, AZ
Past
September 26, 2013 - March 2, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
SCOTTSDALE, AZ
Past
September 26, 2013 - March 2, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
SCOTTSDALE, AZ
Past
August 17, 2012 - October 3, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SCOTTSDALE, AZ
Past
August 17, 2012 - October 3, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SCOTTSDALE, AZ
Past
May 2, 1997 - September 7, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
SCOTTSDALE, AZ
Past
August 12, 1993 - September 7, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
SCOTTSDALE, AZ
Past
April 7, 1989 - September 7, 1993
LAWSON FINANCIAL CORPORATION
BD
CRD#: 15261
PHOENIX, AZ
Past
June 9, 1987 - March 29, 1988
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
IAR
Arizona(3/27/2017)
RR
Arizona(3/3/2020)
RR
California(3/3/2020)
RR
Colorado(7/29/2020)
RR
Delaware(7/1/2024)
RR
Florida(3/3/2020)
RR
Georgia(3/3/2020)
RR
Hawaii(3/9/2020)
RR
Idaho(3/3/2020)
RR
Illinois(4/27/2020)
RR
Indiana(3/4/2020)
RR
Iowa(3/4/2020)
RR
Kansas(3/4/2020)
RR
Kentucky(3/5/2020)
RR
Louisiana(3/5/2020)
RR
Maryland(3/3/2020)
RR
Massachusetts(6/29/2020)
RR
Michigan(3/4/2020)
RR
Minnesota(3/5/2020)
RR
Mississippi(3/4/2020)
RR
Missouri(4/3/2020)
RR
Montana(3/2/2020)
RR
Nebraska(3/4/2020)
RR
Nevada(3/16/2020)
RR
New Hampshire(3/26/2024)
RR
New Jersey(3/5/2020)
RR
New Mexico(3/6/2020)
RR
New York(3/17/2020)
RR
North Carolina(3/3/2020)
RR
North Dakota(5/20/2024)
RR
Ohio(3/3/2020)
RR
Oklahoma(9/24/2024)
RR
Oregon(4/30/2020)
RR
Pennsylvania(3/3/2020)
RR
South Carolina(3/12/2020)
RR
Tennessee(3/5/2020)
RR
Texas(3/4/2020)
IAR
Texas(6/29/2023)
RR
Utah(3/3/2020)
RR
Vermont(3/4/2020)
RR
Virginia(3/4/2020)
RR
Washington(3/26/2020)
RR
West Virginia(2/3/2025)
RR
Wisconsin(3/3/2020)
RR
Wyoming(3/4/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 4/23/1990
Corporate Securities Limited Representative ExaminationGeneral 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
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.
