John C. Bruggman

CETERA INVESTMENT ADVISERS LLC

REIDSVILLE, NC 27320

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CRD#: 2254973

Professional summary

John Charles Bruggman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Reidsville, North Carolina and CETERA INVESTMENT SERVICES LLC located in Reidsville, North Carolina.

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 11 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 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.) BCBG INVESTMENT PROPERTIES AND JBJH PROPERTIES, 100% OWNER OF RENTAL REAL ESTATE <1HR WK 2) FIXED LIFE INSURANCE SALES OUTSIDE OF CETERA 3 VIRGINIA BACKCOUNTRY CABINS, CABIN RENTALS, 33%

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Charles Bruggman'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

May 16, 2017 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 202 South Main Street, Reidsville, NC 27320

RIA

CRD#: 105644

REIDSVILLE, NC

Current

May 16, 2017 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 202 South Main Street, Reidsville, NC 27320

CRD#: 15340

Reidsville, NC

Past

January 2, 2009 - May 17, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

GREENSBORO, NC

Past

March 31, 2008 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

GREENSBORO, NC

Past

March 19, 2008 - May 17, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GREENSBORO, NC

Past

March 14, 2008 - March 27, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

WINSTON SALEM, NC

Past

March 14, 2008 - March 27, 2008

LPL FINANCIAL LLC

CRD#: 6413

WINSTON SALEM, NC

Past

December 12, 2005 - March 13, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

WINSTON-SALEM, NC

Past

December 12, 2005 - March 13, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

WINSTON-SALEM, NC

Past

January 3, 2005 - December 9, 2005

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

MOCKSVILLE, NC

Past

January 3, 2005 - December 9, 2005

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

September 30, 2002 - January 3, 2005

NCF FINANCIAL SERVICES, INC.

RIA

CRD#: 120471

MOCKSVILLE, NC

Past

September 30, 2002 - January 3, 2005

NCF FINANCIAL SERVICES, INC.

CRD#: 120471

DURHAM, NC

Past

December 31, 2000 - September 30, 2002

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

MOCKSVILLE, NC

Past

August 1, 1996 - September 30, 2002

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

March 26, 1993 - July 31, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 11, 1992 - February 9, 1993

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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

Delaware
(5/7/2021)

Florida
(5/16/2017)

Georgia
(8/1/2023)

Kentucky
(5/16/2017)

New Jersey
(3/3/2023)

North Carolina
(5/16/2017)

IAR

North Carolina
(5/16/2017)

South Carolina
(5/16/2017)

Virginia
(5/16/2017)

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 65

Date: 6/2/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/15/1993

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/18/1992

General Securities 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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Advisor Monitoring

Firm Stability Insights

John C. Bruggman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

NCF FINANCIAL SERVICES, INC.

NCF FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/1993

Series 63

Date: 10/13/1992

SIE

Date: 10/1/2018

Series 3

Date: 6/15/1993

Series 7

Date: 9/18/1992

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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