John Byron
Professional summary
John Byron, who also goes by John P Byron, John Patrick Byron, is a registered financial professional currently at CETERA FINANCIAL SPECIALISTS LLC located in Schaumburg, Illinois and CETERA INVESTMENT SERVICES LLC located in Schaumburg, Illinois.
John is registered as a RR (Registered Representative) and started their career in finance in 1996. John has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Byron's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 20, 2014 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173January 13, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173January 13, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173January 13, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173January 13, 2022 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
January 1, 1998 - April 11, 2001
BOFA DISTRIBUTORS, INC.
May 14, 1997 - January 1, 1998
IFMG SECURITIES, INC.
January 22, 1996 - January 7, 1997
FORESIDE DISTRIBUTION SERVICES, L.P.
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
FINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CETERA ADVISORS LLC
CRD#: 10299Schaumburg, IL 60173TRUST BUT VERIFY
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