John D. Nardone
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Dennis Nardone was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2004. John had worked at 5 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2010 - September 3, 2020
CETERA INVESTMENT ADVISERS LLC
June 25, 2009 - September 3, 2020
CETERA FINANCIAL SPECIALISTS LLC
September 21, 2007 - July 17, 2009
ALLSTATE FINANCIAL SERVICES, LLC
October 12, 2006 - October 12, 2007
CETERA FINANCIAL SPECIALISTS LLC
July 24, 2006 - September 29, 2006
YOUR MONEY MATTERS BROKERAGE SERVICES, INC.
June 24, 2004 - July 25, 2006
WORLD INVESTMENTS, 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
Exams
Series 6TO
Date: 3/15/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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
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.
