John E. Massa
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Edward Massa was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2018 - April 15, 2020
CETERA INVESTMENT ADVISERS LLC
December 6, 2017 - April 15, 2020
CETERA INVESTMENT SERVICES LLC
January 21, 2014 - June 2, 2017
CETERA INVESTMENT ADVISERS LLC
September 21, 2010 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
September 8, 2010 - June 2, 2017
CETERA INVESTMENT SERVICES LLC
August 1, 2008 - May 5, 2010
CAPITAL ONE FINANCIAL ADVISORS LLC
July 29, 2008 - May 5, 2010
CAPITAL ONE INVESTMENT SERVICES LLC
January 31, 2008 - July 15, 2008
CHASE INVESTMENT SERVICES CORP.
January 30, 2008 - July 15, 2008
CHASE INVESTMENT SERVICES CORP.
February 22, 2005 - March 20, 2007
SOURCE CAPITAL GROUP, INC.
September 19, 2003 - August 27, 2004
IFMG SECURITIES, INC.
February 3, 2000 - August 27, 2004
IFMG SECURITIES, INC.
September 15, 1998 - November 19, 1999
ESSEX NATIONAL SECURITIES, LLC
April 22, 1998 - August 5, 1998
DIME SECURITIES, INC.
September 17, 1997 - March 19, 1998
IFMG SECURITIES, INC.
September 30, 1996 - March 19, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
February 25, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 25, 1991 - October 22, 1996
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
