JP
John A. Pizzoferrato
CETERA INVESTMENT ADVISERS LLC
LOMBARD, IL 60148
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CRD#: 3242180
JP
Professional summary
John Anthony Pizzoferrato is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lombard, Illinois and CETERA ADVISORS LLC located in Lombard, Illinois.
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 5 firms and has passed the Series 65, Series 63, Series 99TO, 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.) JOHN PIZZAFERRATO, CPA; NOT INV-REL; 1204 HONEY HILL RD., ADDISON, IL, 60101; TAX COMPLIANCE & CONSULTATION; CPA; 1/1992; 20-25 HRS/MONTH; TAX COMPLIANCE & CONSULTATION;
2.) PJ ACTS, LTD.; NOT INV-REL; 151 E. 22ND ST., LOMBARD, IL 60148; ACCOUNTING AND TAX WORK/SERVICES; EMPLOYEE; 1/2012; 20 HRS/MONTH; ACCOUNTING & TAX SSERVICES
3.) MPH INVESTMENT GROUP; NOT INV-REL; 1204 HONEY HILL RD., ADDISON, IL, 60101; RESIDENTIAL REAL ESTATE/OWN A 6-FLAT APT. BLDG.; GENERAL PARTNER; 12/1985; 2 HRS/MONTH;
4.) JP FINANCIAL GROUP
INDEPENDENT CONTRACTOR;INSURANCE (FIXED/LIFE/HEALTH/P&C);
40 HOURS PER MONTH
08/16/2012
5.) GREGG COMMUNICATIONS SYSTEMS, INC; DIRECTOR; RETAIL SALES; START DATE 09/01/2015; 4 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view John Anthony Pizzoferrato'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 151 East 22nd Street Suite 102w, Lombard, IL 60148RIA
CRD#: 105644
LOMBARD, IL
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 151 East 22nd Street Suite 102w, Lombard, IL 60148BD
CRD#: 10299
Lombard, IL
Past
October 24, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
LOMBARD, IL
Past
October 24, 2012 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
LOMBARD, IL
Past
March 20, 2002 - October 24, 2012
OGILVIE SECURITY ADVISORS CORPORATION
RIA
CRD#: 10105
LOMBARD, IL
Past
July 29, 1999 - October 24, 2012
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
LOMBARD, IL
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
Arizona(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Florida(9/8/2022)
IAR
Illinois(11/12/2020)
RR
Illinois(9/8/2022)
RR
Indiana(9/8/2022)
RR
Michigan(9/24/2024)
RR
North Carolina(9/8/2022)
RR
South Carolina(9/8/2022)
RR
Washington(6/10/2024)
RR
Wisconsin(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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
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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.
