John D. Werft

INSTITUTIONAL ADVISOR SERVICES

FRESNO, CA 93720-1530

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CRD#: 1678158

Professional summary

John David Werft, CFP® is a registered financial advisor currently at INSTITUTIONAL ADVISOR SERVICES located in Fresno, California.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. John has worked at 3 firms and has passed the Series 63, Series 7, Series 22 and Series 6 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.

JOHN WERFT REAL ESTATE BROKER, NOT INVESTMENT RELATED, 4435 N. GOLDEN SUNSET WAY, CLOVIS, CA 93619, BROKER, OWNER, 07/1987-PRESENT, 9 HRS/MO (0 DURING TRADING HRS), REAL ESTATE BROKER; JOHN D WERFT CPA, NOT INVESTMENT RELATED, 4435 N. GOLDEN SUNSET WAY, CLOVIS, CA 93619, ACCOUNTANT, OWNER, 08/1981-PRESENT, 43 HRS/MO (0 DURING TRADING HRS), TAX PREPARER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Werft's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Current

July 2, 2012 - Present

INSTITUTIONAL ADVISOR SERVICES

Office #1: 9 E River Park Pl E, Suite 440, Fresno, CA 93720-1530

RIA

CRD#: 44960

FRESNO, CA

Past

November 11, 2002 - October 31, 2003

INSTITUTIONAL ADVISOR SERVICES

CRD#: 44960

FRESNO, CA

Past

September 19, 2002 - July 2, 2012

INSTITUTIONAL ADVISOR SERVICES

RIA

CRD#: 44960

FRESNO, CA

Past

August 16, 1993 - November 23, 1994

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

Past

July 25, 1987 - September 16, 1991

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

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".

INSTITUTIONAL ADVISOR SERVICES

INSTITUTIONAL ADVISOR SERVICES | PLAN LIFE & WEALTH MANAGEMENT, INC. | PLAN FINANCIAL INC. | PLAN FINANCIAL

CRD#: 44960 / SEC#: 801-112596, 8-50897

RIA

Registered Investment Advisory firm - SEC (3/8/2018 Approved)

California

Registered Investment Advisory firm - SEC (4/18/2018 Terminated)

Terminated by SEC on 12/30/2003

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(7/2/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/24/1991

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/10/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/10/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

INSTITUTIONAL ADVISOR SERVICES

INSTITUTIONAL ADVISOR SERVICES | PLAN LIFE & WEALTH MANAGEMENT, INC. | PLAN FINANCIAL INC. | PLAN FINANCIAL

CRD#: 44960 / SEC#: 801-112596, 8-50897

RIA

Registered Investment Advisory firm - SEC (3/8/2018 Approved)

California

Registered Investment Advisory firm - SEC (4/18/2018 Terminated)

Terminated by SEC on 12/30/2003

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Contact information

Main Address

9 E River Park Pl E, Suite 440, Fresno, CA 93720-1530

Mailing Address

Phone number

(559) 433-1110

Established

California since 06/10/1993

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
HOOPER, JOHN ROBERT	PRESIDENT/CCO/CFO/DIRECTOR	1573967
KOLBERT, ROBERT LEE	DIRECTOR	2128544
LONGSTAFF, JOHN SCOTT	DIRECTOR	1203969
PRENDERGAST, MARK LOUIS	DIRECTOR

Regulatory assets under management

Total Number of Accounts	744
AUM (Assets Under Management)	$ 180,837,833

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.

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John D. Werft

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Werft's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTITUTIONAL ADVISOR SERVICES

INSTITUTIONAL ADVISOR SERVICES

QUEST CAPITAL STRATEGIES, INC.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

INSTITUTIONAL ADVISOR SERVICES

State Registrations and Notice Filings

Exams

Series 63

Date: 9/7/1993

Series 7

Date: 6/24/1991

Series 22

Date: 7/10/1987

Series 6

Date: 7/10/1987

Current Firm

INSTITUTIONAL ADVISOR SERVICES

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

INSTITUTIONAL ADVISOR SERVICES

TRUST BUT VERIFY

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