John C. Emig

CETERA INVESTMENT ADVISERS LLC

SCOTTSDALE, AZ

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CRD#: 1921989

Professional summary

John Chistopher Emig, who also goes by John Christopher Emig, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. John has worked at 17 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 62 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Christopher Emig

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Chistopher Emig'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®

None

Experience

Current

June 22, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SCOTTSDALE, AZ

Past

December 15, 2022 - June 30, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SCOTTSDALE, AZ

Past

February 8, 2013 - April 8, 2013

ASCENSUS FINANCIAL SERVICES, LLC.

RIA

CRD#: 147257

SCOTTSDALE, AZ

Past

December 11, 2012 - April 8, 2013

ASCENSUS FINANCIAL SERVICES, LLC.

CRD#: 147257

DRESHER, PA

Past

June 28, 2010 - September 14, 2012

LORING WARD SECURITIES INC.

CRD#: 46337

SAN JOSE, CA

Past

May 20, 2010 - September 14, 2012

LWI FINANCIAL INC.

RIA

CRD#: 111861

SAN JOSE, CA

Past

April 9, 2009 - May 11, 2010

TRIBECA ADVISORS, LLC

RIA

CRD#: 148283

MESA, AZ

Past

November 19, 2008 - November 9, 2009

TRIBECA FINANCIAL, LLC

RIA

CRD#: 113245

MESA, AZ

Past

January 5, 2007 - September 26, 2008

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

SCOTTSDALE, AZ

Past

January 5, 2007 - September 26, 2008

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

February 27, 2006 - January 10, 2007

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

CHICAGO, IL

Past

February 9, 2006 - January 10, 2007

LBMZ SECURITIES, INC.

CRD#: 7874

CHICAGO, IL

Past

January 21, 2003 - October 7, 2005

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

May 13, 2002 - November 1, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

March 29, 1999 - April 18, 2001

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

Past

October 27, 1995 - October 15, 1997

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

October 19, 1990 - October 9, 1995

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

March 6, 1989 - November 3, 1989

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(6/22/2023)

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

IAR

Series 65

Date: 12/9/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/14/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/29/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/9/1990

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 62

Date: 2/10/1989

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/2008

General Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

John C. Emig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Chistopher Emig's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

ASCENSUS FINANCIAL SERVICES, LLC.

ASCENSUS FINANCIAL SERVICES, LLC.

LORING WARD SECURITIES INC.

LWI FINANCIAL INC.

TRIBECA ADVISORS, LLC

TRIBECA FINANCIAL, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

ZACKS INVESTMENT MANAGEMENT, INC.

LBMZ SECURITIES, INC.

HARRISDIRECT LLC

CHARLES SCHWAB & CO., INC.

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

VOYA INVESTMENTS DISTRIBUTOR, LLC

BNY MELLON SECURITIES CORPORATION

ROYCE INVESTMENT GROUP, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/2022

Series 63

Date: 2/14/1989

Series 7

Date: 12/29/1994

Series 6

Date: 11/9/1990

Series 62

Date: 2/10/1989

Series 24

Date: 6/26/2008

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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