AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JA

John D. Ashley

CETERA INVESTMENT ADVISERS LLC
HOUSTON, TX 77024
Some features on this profile are disabled
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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Ashley'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®
ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 701 North Post Oak Rd Suite 320, Houston, TX 77024
RIA
CRD#: 105644
HOUSTON, TX
Current

May 31, 2023 - Present

CETERA ADVISORS LLC

Office #1: 701 North Post Oak Rd Suite 320, Houston, TX 77024
BD
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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/19/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/23/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 5/31/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/8/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/8/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/14/2009
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/8/2005
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)
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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#: 105644Houston, TX 77024

TRUST BUT VERIFY

Monitor John Ashley

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Troy Lynn Wootton Jr
Troy WoottonAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Sugar Land, TX
Darren Dindinger
Darren DindingerAdvisorCheck Check Mark
ALLWORTH FINANCIAL, L.P.
IAR
RR
Orting, WA
LW
Li-e WangAdvisorCheck Check Mark
TRANSAMERICA FINANCIAL ADVISORS, LLC
RR
Houston, TX
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.