JJ
Jon K. Johiro
CETERA INVESTMENT ADVISERS LLC
SUNNYVALE, CA 94086
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CRD#: 2348036
JJ
Professional summary
Jon Kazuo Johiro is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sunnyvale, California and CETERA ADVISORS LLC located in Sunnyvale, California.
Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Jon has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 53, Series 4 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. JON JOHIRO - INDEPENDENT AGENT / LIFE & DISABILITY AGENT 2. VALEHILL CAPITAL; IC; DBA(ONLY OFFERS FIRST ALLIED PRODUCTS/SERVICES) 3. JON AND CAROLYN JOHIRO LIVING TRUST; TRUSTEE (FIDUCIARY POSITION (TRUSTEE, POA,EXECUTOR,ECT) START DATE; 01/01/2001. 4. THE GELA I. RUSSELL AND STEVEN J. GODWIN REV TRUST UAD 04/09/2021; CO SUCCESSOR TRUSTEE; FIDUCIARY POSITION; START DATE: 12/07/2021; 8 HOURS PER MONTH; 5. NAME OF OTHER BUSINESS: KIFERLINE, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: COMMERCIAL REAL ESTATE; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: OWNER/MANAGER; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: GENERAL MANAGER FOR COMMERCIAL REAL ESTATE LLC;
CRS (Client Relationship Summary) - RIA
Click below to view Jon Kazuo Johiro's 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®
NoneExperience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1294 Kifer Road Suite 707, Sunnyvale, CA 94086Office #2: 55 New Montgomery St Suite 803, San Francisco, CA 94105RIA
CRD#: 105644
SUNNYVALE, CA
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1294 Kifer Road Suite 707, Sunnyvale, CA 94086BD
CRD#: 10299
Sunnyvale, CA
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SUNNYVALE, CA
Past
February 5, 2004 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
SUNNYVALE, CA
Past
February 11, 2002 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SUNNYVALE, CA
Past
May 17, 1994 - February 11, 2002
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
Past
July 29, 1993 - March 21, 1994
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Alabama(9/13/2024)
RR
Arizona(9/8/2022)
IAR
California(11/12/2020)
RR
California(9/8/2022)
RR
Florida(9/8/2022)
RR
Hawaii(9/8/2022)
RR
Idaho(9/8/2022)
RR
Indiana(9/8/2022)
RR
Maryland(9/8/2022)
RR
Massachusetts(9/8/2022)
RR
Michigan(9/8/2022)
RR
Minnesota(6/27/2025)
RR
Missouri(9/8/2022)
RR
Nevada(9/8/2022)
RR
Texas(9/8/2022)
IAR
Texas(11/3/2022)
RR
Washington(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 11/18/2022 |
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.
