John J. Van Ermen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Joseph Van Ermen, who also goes by John Joseph Vanermen, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2018 - April 21, 2025
CETERA INVESTMENT ADVISERS LLC
July 7, 2017 - April 21, 2025
CETERA INVESTMENT SERVICES LLC
January 5, 2015 - June 1, 2015
INVEST FINANCIAL CORPORATION
May 16, 2011 - June 1, 2015
INVEST FINANCIAL CORPORATION
May 23, 2005 - March 17, 2008
CETERA ADVISORS LLC
May 23, 2005 - March 17, 2008
VOYA FINANCIAL ADVISORS, INC.
May 23, 2005 - March 17, 2008
CETERA WEALTH SERVICES, LLC
August 21, 2001 - May 3, 2005
PORTFOLIO BROKERAGE SERVICES, INC.
May 1, 1989 - September 13, 1999
CHARLES SCHWAB & CO., INC.
February 1, 1989 - May 2, 1989
ROSE & COMPANY INVESTMENT BROKERS, INC.
February 8, 1988 - November 2, 1988
STRONG INVESTMENTS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 8/23/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
