John H. Herrera

CETERA INVESTMENT ADVISERS LLC

GLENDALE, CA 91205

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CRD#: 2037425

Professional summary

John Harold Herrera, who also goes by John H Herrera, John Herrera, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Glendale, California and CETERA INVESTMENT SERVICES LLC located in Glendale, California.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. John has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John H Herrera | John Herrera

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 Harold Herrera'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

March 7, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 300 S Glendale Ave, Glendale, CA 91205

RIA

CRD#: 105644

GLENDALE, CA

Current

March 7, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 300 S Glendale Ave, Glendale, CA 91205

CRD#: 15340

GLENDALE, CA

Past

September 1, 2020 - March 7, 2025

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

GLENDALE, CA

Past

October 10, 2019 - March 7, 2025

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

GLENDALE, CA

Past

December 13, 2017 - June 18, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

LOS ANGELES, CA

Past

December 13, 2017 - June 18, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

LOS ANGELES, CA

Past

December 2, 2014 - November 21, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SANTA ROSA, CA

Past

September 10, 2013 - November 21, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SANTA ROSA, CA

Past

August 2, 2011 - December 7, 2011

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODLAND HILLS, CA

Past

February 22, 2010 - December 9, 2010

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

RANCHO DOMINGUEZ, CA

Past

November 20, 2007 - March 24, 2008

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

May 7, 2007 - May 29, 2007

LPL FINANCIAL LLC

CRD#: 6413

SANTA MONICA, CA

Past

January 1, 2005 - August 31, 2005

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

August 3, 2001 - March 15, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

February 22, 2001 - May 23, 2001

IMPERIAL CAPITAL, LLC

CRD#: 43744

LOS ANGELES, CA

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
(3/7/2025)

IAR

California
(3/7/2025)

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 66

Date: 8/31/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/22/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/2001

General Securities Representative 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 H. Herrera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Harold Herrera's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

EQUITABLE ADVISORS, LLC

FARMERS FINANCIAL SOLUTIONS, LLC

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

FORESIDE FUND SERVICES, LLC

LPL FINANCIAL LLC

IMPERIAL CAPITAL, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/31/2020

Series 63

Date: 5/22/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/21/2001

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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