Wesley D. Johnson
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.
Wesley David Johnson, who also goes by Wesley David Johnson Jr, was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 1999. Wesley had worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2024 - April 17, 2025
CETERA INVESTMENT ADVISERS LLC
February 5, 2024 - March 21, 2024
CETERA ADVISORS LLC
June 29, 2023 - January 31, 2024
CETERA INVESTMENT ADVISERS LLC
August 24, 2020 - January 31, 2024
CETERA INVESTMENT SERVICES LLC
December 7, 2015 - June 29, 2023
CETERA WEALTH SERVICES, LLC
December 7, 2015 - December 14, 2016
LEGEND EQUITIES CORPORATION
December 7, 2015 - January 31, 2024
CETERA FINANCIAL SPECIALISTS LLC
December 7, 2015 - January 31, 2024
CETERA WEALTH SERVICES, LLC
December 7, 2015 - April 17, 2025
CETERA ADVISORS LLC
April 1, 2009 - November 25, 2015
HARRISDIRECT LLC
April 1, 2009 - November 25, 2015
E*TRADE SECURITIES LLC
August 14, 2008 - April 2, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
February 4, 2004 - September 28, 2004
ING DIRECT SECURITIES INC.
June 22, 1999 - February 26, 2002
MORGAN STANLEY DW INC.
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
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
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.
