John Soto

CETERA INVESTMENT ADVISERS LLC

GARDEN CITY, NY 11530

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CRD#: 2672752

Professional summary

John Soto is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Garden City, New York and CETERA INVESTMENT SERVICES LLC located in Garden City, New York.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. John has worked at 8 firms and has passed the Series 66, Series 63, SIE 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) 08/27/2012: ESQ Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 50% Time Spent (2) 1/25/2017 - No Business Name - Investment Related - 1055 Franklin Ave Ste 107 Garden City NY 11530/Orlando FL - Real Estate Rental - Started 01/01/2002 - 2 Hours Per Month During Securities Trading. (3) 10/08/2021 - Dime Financial Services - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Program Manager/Financial Advisor - Start Date: 06/23/2021 - 80 Hours Per Month/3 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Soto'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

October 5, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1325 Franklin Avenue Suite 255, Garden City, NY 11530

RIA

CRD#: 105644

GARDEN CITY, NY

Current

September 18, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1325 Franklin Avenue Suite 255, Garden City, NY 11530

CRD#: 15340

GARDEN CITY, NY

Past

September 17, 2012 - August 13, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

WOODBURY, NY

Past

September 14, 2012 - August 13, 2024

LPL FINANCIAL LLC

CRD#: 6413

WOODBURY, NY

Past

August 27, 2009 - September 18, 2012

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

MELVILLE, NY

Past

January 3, 2005 - September 18, 2012

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

GLEN COVE, NY

Past

January 2, 2004 - January 3, 2005

GREENPOINT SECURITIES LLC

CRD#: 127042

LAKE SUCCESS, NY

Past

April 28, 1997 - January 2, 2004

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

November 14, 1995 - February 1, 1996

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

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
(11/21/2024)

Connecticut
(1/2/2025)

Florida
(8/27/2025)

New York
(9/19/2024)

IAR

New York
(10/5/2024)

Pennsylvania
(9/20/2024)

South Carolina
(9/25/2024)

South Dakota
(9/23/2024)

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: 8/17/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/16/1995

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: 11/10/1995

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 Soto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

GREENPOINT SECURITIES LLC

ESSEX NATIONAL SECURITIES, LLC

ROYCE INVESTMENT GROUP, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2009

Series 63

Date: 11/16/1995

SIE

Date: 10/1/2018

Series 7

Date: 11/10/1995

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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