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JK

John J. Konikowski

CETERA INVESTMENT ADVISERS
WINSTON-SALEM, NC 27104
CRD#: 2868725
Some features on this profile are disabled
JK
John J KonikowskiCETERA INVESTMENT ADVISERS

Professional summary

John J Konikowski, who also goes by John Joseph Konikowski, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Winston-salem, North Carolina and CETERA INVESTMENT SERVICES LLC located in Winston-salem, North Carolina.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. John has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

John Joseph Konikowski

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John J Konikowski'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

July 29, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 161 S Stratford Road, Winston-salem, NC 27104
RIA
CRD#: 105644
WINSTON-SALEM, NC
Current

July 29, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 161 S Stratford Road, Winston-salem, NC 27104
BD
CRD#: 15340
Winston-salem, NC
Past

June 4, 2024 - July 8, 2025

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
SOUTHINGTON, CT
Past

June 4, 2024 - July 8, 2025

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

February 22, 2016 - March 1, 2024

SORRENTO PACIFIC FINANCIAL, LLC

RIA
CRD#: 127787
Southington, CT
Past

February 22, 2016 - March 1, 2024

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
Southington, CT
Past

February 22, 2016 - March 1, 2024

SORRENTO PACIFIC FINANCIAL, LLC

BD
CRD#: 127787
Southington, CT
Past

February 22, 2016 - March 1, 2024

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
Groton, CT
Past

July 9, 2010 - February 24, 2016

AST INVESTMENT SERVICES, INC.

RIA
CRD#: 108897
SHELTON, CT
Past

July 9, 2010 - February 24, 2016

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

June 6, 2008 - June 2, 2010

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

February 6, 2007 - June 2, 2010

OSAIC FA, INC.

RIA
CRD#: 3978
HARTFORD, CT
Past

February 6, 2007 - June 2, 2010

OSAIC FA, INC.

BD
CRD#: 3978
HARTFORD, CT
Past

May 16, 2006 - February 7, 2007

NEWALLIANCE INVESTMENTS, INC.

RIA
CRD#: 126880
WALLINGFORD, CT
Past

May 16, 2006 - February 7, 2007

NEWALLIANCE INVESTMENTS, INC.

BD
CRD#: 126880
WALLINGFORD, CT
Past

November 7, 2005 - May 15, 2006

OSAIC FA, INC.

RIA
CRD#: 3978
WINDSOR, CT
Past

November 7, 2005 - May 15, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
WINDSOR, CT
Past

November 7, 2005 - May 15, 2006

OSAIC FA, INC.

BD
CRD#: 3978
WINDSOR, CT
Past

August 23, 2005 - November 7, 2005

WRP INVESTMENTS, INC.

RIA
CRD#: 7365
WINDSOR, CT
Past

August 23, 2005 - November 7, 2005

WRP INVESTMENTS, INC.

BD
CRD#: 7365
YOUNGSTOWN, OH
Past

September 12, 2002 - August 15, 2005

OSAIC FA, INC.

RIA
CRD#: 3978
HARTFORD, CT
Past

November 9, 1999 - August 15, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

June 1, 1998 - August 15, 2005

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

August 18, 1997 - June 1, 1998

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

July 2, 1997 - August 15, 1997

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA

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
Connecticut
(7/29/2025)
IAR
Connecticut
(7/29/2025)
RR
North Carolina
(7/29/2025)
IAR
North Carolina
(8/4/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/29/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/25/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/1/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/4/1997
General Securities Principal Examination
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
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 Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Winston-salem, NC 27104

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