John Baek
Professional summary
John Baek, CFP®, who also goes by John Baek, Seung Surk Beak, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Lee, New Jersey and CETERA ADVISORS LLC located in Fort Lee, New Jersey.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Baek's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2001
Experience
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 222 Bruce Reynolds Blvd #440, Fort Lee, NJ 07024September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 222 Bruce Reynolds Blvd #440, Fort Lee, NJ 07024March 3, 2009 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
May 30, 2008 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
February 28, 2007 - January 9, 2009
FIRST ALLIED ADVISORY SERVICES, INC.
February 14, 2007 - May 30, 2008
FFP SECURITIES, INC.
February 28, 2003 - February 20, 2007
CADARET, GRANT & CO., INC.
October 23, 1998 - December 16, 2002
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/8/2022)
(9/8/2022)
(9/8/2022)
(8/8/2025)
(9/8/2022)
(8/9/2024)
(11/12/2020)
(9/8/2022)
(9/8/2022)
(9/20/2024)
(1/4/2023)
(9/8/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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
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