JS
John M. Shall
CETERA INVESTMENT ADVISERS LLC
STATEN ISLAND, NY 10304
Some features on this profile are disabled
CRD#: 3162834
JS
Professional summary
John Michael Shall is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Staten Island, New York and CETERA WEALTH SERVICES, LLC located in Staten Island, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 6 firms and has passed the 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) NYS SUPREME COURT-CONSULTANT TO THE COURT POSITION: Consultant NATURE: Consultant regarding financial investments INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/20/2015 DESCRIPTION: Provide an opinion on the appropriateness of investments 2) STATEN ISLAND POLITICAL ALLIANCE POSITION: TREASURER NATURE: POLITICAL ACTION COMMITTEE INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2011 ADDRESS: Staten Island NY , United States DESCRIPTION: Treasurer. 3) NORTH SHORE LONG ISLAND JEWISH HEALTH CARE SYSTEM POSITION: EXECUTIVE COMMITTEE BOARD OF TRUSTEES NATURE: HEALTH CARE INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1997 ADDRESS: Staten Island NY , United States DESCRIPTION: Board of Trustees, Executive committee member. 4) DKS ADVISORY GROUP, LLC POSITION: MEMBER NATURE: REAL ESTATE RENTAL INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/26/1998 ADDRESS: Staten Island NY , United States DESCRIPTION: Member; rental real estate. 5) SI UNIVERSITY HOSPITAL POSITION: CHAIRMAN OF THE BOARD OF TRUSTEES NATURE: HOSPITAL INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1986 ADDRESS: Staten Island NY , United States DESCRIPTION: Board of Trustees 6) G. I. TRUST AS SPECIAL LIMITED GUARDIAN AND TRUSTEE POSITION: Special limited guardian and trustee NATURE: This is a trust for an individual deemed by the court to need assistance with the management of her finances. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 1 START DATE: 02/09/2016 ADDRESS: Staten Island NY 10304, United States DESCRIPTION: Duties as set forth in terms of trust. 7) HEADQUARTERS ADVISORY GROUP LLC POSITION: FINANCIAL ADVISOR NATURE: HEADQUARTERS PROVIDES BACK OFFICE SERVICES FOR MY WEALTH MANAGEMENT BUSINESS. HEADQUARTERS IS OWNED BY BLUCORA INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2021 ADDRESS: 1675 Richmond Road, Staten Island NY 103042317, United States DESCRIPTION: THEY PROVIDE BACK OFFICE SERVICE TO ME 8) ST LUKES AVENUE LLC; DIRECTOR: St. Lukes Avenue LLC currently holds title to a vacant lot. It is adjacent to a catering hall owned by JVS who uses it for parking. There are no plans to develop the property. INVESTMENT RELATED: No; 0; 0; STARTED 01/10/2010; 1675 Richmond Road, Staten Island NY 103042317, US; CURRENTLY NO DUTIES 9)DESANTIS, KIEFER, SHALL & SARCONE, LLP; SENIOR ACCOUNTANT; ACCOUNTANTS OFFICE; NIR; HRS 1; HRS 1; 02/01/1999; Staten Island NY ; SENIOR ACCOUNTANT, TAX & FINANCIAL STATEMENT PREPARATION. 10)Staten Island GOP - Republican Party; NIR; 11) Temporary Guardian; Guardian; Guardian over assets of LS. I am responsible for paying bills; NIR; HRS: 10; Trading HRS: 5; 04/01/2024; 1675 Richmond Road Staten Island New York 10304; Gather and conserve assets. Pay bills and deposit checks. Assets under guardianship are non qualified and qualified brokerage accounts. checking accounts. Also a single family home currently in contract for sale.
CRS (Client Relationship Summary) - RIA
Click below to view John Michael Shall'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1675 Richmond Road, Staten Island, NY 10304RIA
CRD#: 105644
STATEN ISLAND, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1675 Richmond Road, Staten Island, NY 10304-2317BD
CRD#: 13572
STATEN ISLAND, NY
Past
September 7, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
STATEN ISLAND, NY
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
STATEN ISLAND, NY
Past
June 2, 2000 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
STATEN ISLAND, NY
Past
March 8, 1999 - June 7, 2000
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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(9/5/2025)
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
Virginia(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
