John Ariola

CETERA INVESTMENT ADVISERS LLC

WILLIAMSVILLE, NY

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CRD#: 2143300

Professional summary

John Ariola is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Williamsville, New York and CETERA WEALTH SERVICES, LLC located in Williamsville, New York.

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 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 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.

1)BEARINGSTONE WEALTH, INC. POSITION: Founding Partner - Financial Advisor NATURE: Used as a DBA for marketing of financial services, including insurance, financial planning, fee-based asset management, and Broker/ Dealer product sales. INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 01/03/2025 ADDRESS: 5920 Main Street, Williamsville NY 14221, United States DESCRIPTION: Manage the website, marketing materials and any marketing and advertising, review investment performance with clients, meet with clients 3) Bennett A. Gagliano, Inc.; Independent Contractor; Health Insurance; NIR; 2; 05/01/2013; 8610 Transit Rd East Amherst NY 14051; meet with clients, help client to determine the proper company and coverage to offer to employees 4) G&C Pension Services, LLC; Independent Contractor; Health insurance sales; NIR; 5; 07/01/2011; 8610 Transit Rd East Amherst NY 14051; Help client to determine the proper company and coverage to offer to employees 5) Aegis Advisory Group, Inc.; President; Defunct corporation in NYS; NIR; 0; 03/11/2014; 58 Union Common Williamsville NY 14221; None. The company is no longer in service. 6) United Healthcare; Independent contractor; Sales of health insurance products outside of NY; NIR; 3; 03/01/2023; 8610 Transit Rd East Amherst NY 14051; We help clients find proper health insurance coverage and plan design to offer to employees 7) Progressive Planning Services, Inc. (1); Advisor; Corporate name through which I provide all financial services, i.e. financial planning, investment planning, estate planning, tax planning, risk analysis?; IR; 100; 12/01/2017; 8610 Transit Rd East Amherst NY 14051; Meet with clientsDetermine needs for investments or insuranceReview client performanceFacilitate meetings with attorneys and accountantsAdvise on qualified plan investment options and plan design

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Ariola'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WILLIAMSVILLE, NY

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5920 Main Street, Williamsville, NY 14221

CRD#: 19585

BUFFALO, NY

Past

April 24, 2003 - December 8, 2004

CHARTER ONE SECURITIES, INC.

CRD#: 13373

CLEVELAND, OH

Past

June 13, 2001 - February 3, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

September 14, 1995 - June 4, 2001

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

June 12, 1991 - September 18, 1995

MUTUAL FUNDS ASSOCIATES INC.

CRD#: 2856

ROCHESTER, 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.

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

Florida
(9/5/2025)

New York
(9/5/2025)

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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John Ariola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

OSAIC FA, INC.

OSAIC FA, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

PROSPERITY WEALTH MANAGEMENT, INC.

FORTUNE FINANCIAL SERVICES, INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

CHARTER ONE SECURITIES, INC.

MML INVESTORS SERVICES, LLC

THE INVESTMENT CENTER, INC.

MUTUAL FUNDS ASSOCIATES INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/1999

Series 63

Date: 6/10/1991

SIE

Date: 10/1/2018

Series 7

Date: 9/4/1997

Series 6

Date: 6/10/1991

Series 9

Date: 12/22/2006

Series 24

Date: 4/20/1998

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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