John Ariola
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Ariola's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5920 Main Street, Williamsville, NY 14221May 3, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
May 3, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
December 11, 2017 - May 6, 2024
OSAIC FA, INC.
December 8, 2017 - May 6, 2024
OSAIC FA, INC.
March 21, 2017 - December 8, 2017
SII INVESTMENTS, INC.
January 15, 2016 - December 31, 2016
SII INVESTMENTS, INC.
January 14, 2016 - December 8, 2017
SII INVESTMENTS, INC.
February 24, 2015 - February 5, 2016
PROSPERITY WEALTH MANAGEMENT, INC.
December 3, 2014 - January 15, 2016
FORTUNE FINANCIAL SERVICES, INC.
September 14, 2010 - May 16, 2013
CADARET, GRANT & CO., INC.
September 1, 2010 - May 16, 2013
CADARET, GRANT & CO., INC.
July 31, 2007 - September 9, 2010
SUMMIT FINANCIAL GROUP INC
July 10, 2007 - September 9, 2010
SUMMIT BROKERAGE SERVICES, INC.
July 19, 2006 - March 14, 2007
HSBC SECURITIES (USA) INC.
June 28, 2006 - March 14, 2007
HSBC SECURITIES (USA) INC.
April 24, 2003 - December 8, 2004
CHARTER ONE SECURITIES, INC.
June 13, 2001 - February 3, 2003
MML INVESTORS SERVICES, LLC
September 14, 1995 - June 4, 2001
THE INVESTMENT CENTER, INC.
June 12, 1991 - September 18, 1995
MUTUAL FUNDS ASSOCIATES INC.
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
(9/5/2025)
(9/5/2025)
(9/5/2025)
Exams
FINRA
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 |
Red Flags
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