JA
John D. Ashley
CETERA INVESTMENT ADVISERS LLC
HOUSTON, TX 77024
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CRD#: 3163425
JA
Professional summary
John David Ashley, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA ADVISORS LLC located in Houston, Texas.
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 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: X12/1998, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: TOTUS WEALTH MANAGEMENT , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 07/2023 , POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: SAND PIPER PROPERTY MANAGEMENT, INVESTMENT RELATED: NO, ADDRESS: 238 S. EGRET BAY BLVD #293, LEAGUE CITY, TX, 77573, NATURE OF BUSINESS: LLC, START DATE: 01/2000, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: LLC TO HOLD REAL ESTATE INVESTMENT PROPERTIES; 4. NAME OF OTHER BUSINESS: A AFFORDABLE ALUMINUM; INVESTMENT RELATED: NO; ADDRESS: 101 KETCHUM DR, ANGLETON, TX 77515; NATURE OF BUSINESS: ALUMINUM PATIO COVER SALES; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: SALESPERSON; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: FOLLOW UP ON CALLS REQUESTING QUOTES & INFORMATION ON PATIO COVERINGS FOR THE GREATER HOUSTON AREA; 5. NAME OF OTHER BUSINESS: JOHN DAVID ASHLEY INVESTMENT RELATED: NO, ADDRESS: 13553 CALVARY RD, #8, WILLIS, TX 77318, NATURE OF BUSINESS: RENTAL, START DATE: 02/2025, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TARDI8NG HOURS, BRIEF DESCRIPTION OF DUTIES: RENTING OUT TRAVEL TRAILER; 6. NAME OF OTHER BUSINESS: Q FOUNDATION FOR KIDS; INVESTMENT RELATED: NO; ADDRESS: 2252 GWNHURST BLVD WESLEY CHAPEL, FL 33543; NATURE OF BUSINESS: NON PROFIT; START DATE: 5/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ASSIST INTERNATIONAL FAMILIES WITH EXPENSES WHILE TRAVELING FOR MEDICAL CARE FOR CHILDREN, RAISE AWARENESS;
CRS (Client Relationship Summary) - RIA
Click below to view John David Ashley'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®
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 701 North Post Oak Rd Suite 320, Houston, TX 77024RIA
CRD#: 105644
HOUSTON, TX
Current
May 31, 2023 - Present
CETERA ADVISORS LLC
Office #1: 701 North Post Oak Rd Suite 320, Houston, TX 77024BD
CRD#: 10299
Houston, TX
Past
May 31, 2023 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
HOUSTON, TX
Past
March 25, 2017 - June 1, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
HOUSTON, TX
Past
March 25, 2017 - June 1, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HOUSTON, TX
Past
August 15, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
HOUSTON, TX
Past
August 15, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
HOUSTON, TX
Past
June 7, 2004 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HOUSTON, TX
Past
January 20, 1999 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
HOUSTON, TX
Past
January 20, 1999 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HOUSTON, TX
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
California(5/31/2023)
RR
Colorado(10/2/2024)
RR
Georgia(5/31/2023)
RR
Texas(5/31/2023)
IAR
Texas(3/21/2024)
RR
Virginia(5/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 5/31/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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)
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.
