John A. Gutfranski

CETERA INVESTMENT ADVISERS LLC

HOUSTON, TX

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CRD#: 2254638

Professional summary

John Anthony Gutfranski, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA WEALTH SERVICES, LLC located in Houston, Texas.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. John has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 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) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; YES; 800 BERING #227; HOUSTON; TX; 77057; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/2/2015; 10; 10; SALES OF FIXED INSURANCE PRODUCTS.| 2) NAME OF ENTITY: HARRIS COUNTY MUNICIPAL UTILITY DISTRICT NO. 461; NO; 9 GREENWAY PLAZA, SUITE 1000; HOUSTON; TX; 77046; LOCAL UTILITY DISTRICT RELATED TO WASTE WATER, SEWAGE AND WATER SUPPLY; DIRECTOR; 5/13/2020; 1; 1; WORK WITH UTILITY COUNSEL TO OPERATE UNDER THE TEXAS STATE LAW AND OTHER PROFESSIONALS, SUCH AS ENGINEERS, PLANT OPERATOR, BOOK KEEPER, TO OVERSEE EFFICIENT OPERATION OF THE DISTRICT TO MEET RELATIVE WATER MANAGEMENT DEMANDS.| 3) NAME OF OTHER BUSINESS: GUTFRANSKI ADVISORY, LLC ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR MARKETING AND EXPENSES; START DATE: 01/2016; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA TO FACILITATE WEBSITE CREATION AND FOR EXPENSES ASSOCIATED WITH THE PRACTICE;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Anthony Gutfranski'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

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

HOUSTON, TX

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2500 E T C Jester Blvd Ste 266, Houston, TX 77008

CRD#: 13572

Houston, TX

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

January 6, 2015 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

HOUSTON, TX

Past

January 2, 2015 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

HOUSTON, TX

Past

May 6, 2009 - January 9, 2015

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

KATY, TX

Past

April 9, 2009 - January 9, 2015

CETERA WEALTH SERVICES, LLC

CRD#: 13572

KATY, TX

Past

November 13, 2008 - March 25, 2009

STANFORD GROUP COMPANY

RIA

CRD#: 39285

HOUSTON, TX

Past

November 13, 2008 - March 25, 2009

STANFORD GROUP COMPANY

CRD#: 39285

HOUSTON, TX

Past

November 19, 2003 - November 17, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

March 20, 2003 - November 17, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOUSTON, TX

Past

February 6, 1997 - March 24, 2003

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

March 23, 1993 - June 3, 1994

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

October 19, 1992 - March 9, 1993

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

October 19, 1992 - March 9, 1993

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

Arizona
(6/9/2021)

California
(1/5/2022)

Colorado
(6/9/2021)

Florida
(1/5/2022)

Louisiana
(6/9/2021)

Massachusetts
(6/9/2021)

New Mexico
(6/9/2021)

New York
(6/9/2021)

Ohio
(6/9/2021)

Pennsylvania
(6/9/2021)

Texas
(6/9/2021)

IAR

Texas
(6/29/2023)

Virginia
(6/9/2021)

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: 8/22/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/20/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/21/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/15/1997

Investment Company Products/Variable Contracts 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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Firm Stability Insights

John A. Gutfranski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

STANFORD GROUP COMPANY

STANFORD GROUP COMPANY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC ONE SECURITIES CORPORATION

CETERA WEALTH SERVICES, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2003

Series 63

Date: 1/15/1997

SIE

Date: 10/1/2018

Series 31

Date: 8/20/2004

Series 7

Date: 6/21/2000

Series 6

Date: 1/15/1997

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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