John R. Heller

CETERA INVESTMENT ADVISERS LLC

SAN GABRIEL, CA 91776

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CRD#: 1980325

Professional summary

John Robert Heller is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Gabriel, California and CETERA INVESTMENT SERVICES LLC located in San Gabriel, California.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 11 firms and has passed the Series 65, Series 63, Series 82TO, SIE, Series 55, Series 7, Series 52, Series 6, Series 27, Series 53, Series 4 and Series 24 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.

COMPLIANCE OFFICER FOR CATHAY BANK; MONITORS FDIC REGULATIONS; ADVISE ON BANK POLICIES AND PROCEDURES; KEEP ABREST OF BANKING REGULATIONS; BOARD MEMBER OF HOME OWNER'S ASSOCIATION; 1 HR/MOS; TRUSTEE, GRANTOR, AND BENEFICIARY OF OWN TRUST

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Heller'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 24, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 825 E Valley Bld 2nd Floor, San Gabriel, CA 91776

RIA

CRD#: 105644

SAN GABRIEL, CA

Current

June 24, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 825 E Valley Bld 2nd Floor, San Gabriel, CA 91776

CRD#: 15340

San Gabriel, CA

Past

April 25, 2023 - June 26, 2024

CITY NATIONAL SECURITIES, INC.

RIA

CRD#: 103705

LOS ANGELES, CA

Past

April 25, 2023 - June 26, 2024

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

LOS ANGELES, CA

Past

September 25, 2017 - April 14, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAN GABRIEL, CA

Past

September 25, 2017 - April 14, 2023

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

SAN GABRIEL, CA

Past

March 1, 2017 - September 25, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

EL MONTE, CA

Past

February 28, 2017 - September 25, 2017

LPL FINANCIAL LLC

CRD#: 6413

EL MONTE, CA

Past

January 21, 2014 - February 28, 2017

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

EL MONTE, CA

Past

October 3, 2007 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

MILLBRAE, CA

Past

October 3, 2007 - February 28, 2017

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MILLBRAE, CA

Past

October 20, 2005 - September 26, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

WOODLAND HILLS, CA

Past

August 6, 2004 - September 26, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

WOODLAND HILLS, CA

Past

October 28, 2003 - July 20, 2004

STOCKS 4 LESS, INC.

CRD#: 42666

SHERMAN OAKS, CA

Past

June 14, 1999 - October 28, 2003

NATIONAL CLEARING CORP.

CRD#: 14343

SHERMAN OAKS, CA

Past

April 21, 1998 - February 18, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 30, 1994 - March 6, 1998

R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605

JERSEY CITY, NJ

Past

June 15, 1993 - June 7, 1994

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

April 22, 1993 - June 7, 1993

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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.

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

California
(6/24/2024)

IAR

California
(6/24/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/5/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/14/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 4/25/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/9/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/12/1998

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 9/20/1994

Municipal Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/21/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 27

Date: 7/10/2001

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 1/19/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/7/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/30/2000

General Securities Principal Examination

SRO Registrations

FINRA

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 R. Heller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Heller's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CITY NATIONAL SECURITIES, INC.

CITY NATIONAL SECURITIES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

STOCKS 4 LESS, INC.

NATIONAL CLEARING CORP.

UBS FINANCIAL SERVICES INC.

R.W. SMITH & ASSOCIATES, LLC

FINANCIAL WEST GROUP

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/5/1998

Series 63

Date: 6/14/1991

Series 82TO

Date: 4/25/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/9/2001

Series 7

Date: 5/12/1998

Series 52

Date: 9/20/1994

Series 6

Date: 4/21/1993

Series 27

Date: 7/10/2001

Series 53

Date: 1/19/2001

Series 4

Date: 11/7/2000

Series 24

Date: 5/30/2000

FINRA

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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