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JH

John A. Henningfield

CETERA INVESTMENT ADVISERS
WAUWATOSA, WI 53226
Some features on this profile are disabled
CRD#: 2114751
JH

Professional summary

John Arthur Henningfield, AIF®, who also goes by John A Henningfield, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wauwatosa, Wisconsin and CETERA INVESTMENT SERVICES LLC located in Wauwatosa, Wisconsin.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

John A Henningfield

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 Arthur Henningfield'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2290 N Mayfair Road, Wauwatosa, WI 53226
RIA
CRD#: 105644
WAUWATOSA, WI
Current

January 11, 2006 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2290 N Mayfair Road, Wauwatosa, WI 53226Office #2: 701 Trailwview Court, Waterford, WI 53185Office #3: N15 W30921 Golf Road, Delafield, WI 53018Office #4: 7400 W Oklahoma Avenue, West Allis, WI 53219Office #5: 705 E Silver Spring Drive, Whitefish Bay, WI 53217Office #6: 5225 S 108th Street, Hales Corners, WI 53130
BD
CRD#: 15340
Wauwatosa, WI
Past

October 26, 2011 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
GREENFIELD, WI
Past

February 9, 2004 - December 31, 2005

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

January 27, 1995 - January 5, 2001

TCF INVESTMENTS, INC.

BD
CRD#: 34954
MINNEAPOLIS, MN
Past

June 29, 1994 - January 26, 1995

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

January 16, 1991 - April 13, 1994

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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.
RR
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

RR
Florida
(1/18/2019)
RR
Illinois
(1/17/2012)
RR
Michigan
(2/20/2025)
RR
Missouri
(11/27/2023)
RR
Tennessee
(3/5/2026)
RR
Wisconsin
(1/11/2006)
IAR
Wisconsin
(1/21/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/30/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/27/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/6/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/14/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/13/1993
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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 Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Wauwatosa, WI 53226

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