John D. Woltemate

CETERA INVESTMENT ADVISERS LLC

HOUSTON, TX 77056

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CRD#: 2340859

Professional summary

John Duke Woltemate JR, who also goes by John Duke Woltemate, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA INVESTMENT 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 1993. John has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Duke Woltemate

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) 05-18-2022-Houston Federal Credit Union- Investment Related- At Reported Business Location(s)- Financial Institution Duty-Program Manager-START DATE: 08/2001-160 Hours Per Month- 2) 05-18-2022-HFCU Investment and Retirement Services- Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business)-Program Manager-

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Duke Woltemate JR'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

August 4, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5433 Westheimer Rd Suite 800, Houston, TX 77056

RIA

CRD#: 105644

HOUSTON, TX

Current

August 4, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 5433 Westheimer Rd Suite 800, Houston, TX 77056

CRD#: 15340

Houston, TX

Past

May 18, 2022 - August 5, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

May 18, 2022 - August 5, 2025

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

August 23, 2001 - May 18, 2022

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

SUGAR LAND, TX

Past

August 23, 2001 - May 18, 2022

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

SUGAR LAND, TX

Past

April 23, 1999 - August 28, 2001

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

January 11, 1999 - May 3, 1999

BANK UNITED SECURITIES CORP.

CRD#: 30288

HOUSTON, TX

Past

January 1, 1998 - December 11, 1998

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

February 8, 1994 - January 1, 1998

NATIONSSECURITIES

CRD#: 32542

Past

April 28, 1993 - December 9, 1993

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 28, 1993 - December 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

Arkansas
(11/6/2025)

Texas
(8/4/2025)

IAR

Texas
(8/4/2025)

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: 9/26/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/18/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/27/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/29/2000

General Securities Principal 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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John D. Woltemate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Duke Woltemate JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

BANK UNITED SECURITIES CORP.

BANC OF AMERICA INVESTMENT SERVICES, INC.

NATIONSSECURITIES

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/1995

Series 63

Date: 5/18/1993

SIE

Date: 10/1/2018

Series 7

Date: 2/16/1994

Series 6

Date: 4/27/1993

Series 24

Date: 8/29/2000

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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