John Surace

CETERA INVESTMENT ADVISERS

HAUPPAUGE, NY 11788

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CRD#: 4006689

Professional summary

John Surace, who also goes by John Andrew Surace, John A Surace, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hauppauge, New York and CETERA WEALTH SERVICES, LLC located in Hauppauge, 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 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Andrew Surace | John A Surace

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 Surace'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®

None

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1300 Veterans Memorial Hwy Suite 310, Hauppauge, NY 11788Office #2: 888 Veterans Memorial Highway Suite 210, Hauppauge, NY 11788

RIA

CRD#: 105644

HAUPPAUGE, NY

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1300 Veterans Memorial Hwy Suite 120, Hauppauge, NY 11788Office #2: 888 Veterans Memorial Highway Suite 220, Hauppauge, NY 11788

CRD#: 13572

Hauppauge, NY

Past

November 14, 2023 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Hauppauge, NY

Past

November 14, 2023 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Hauppauge, NY

Past

September 10, 2021 - November 16, 2023

OSAIC WEALTH, INC.

RIA

CRD#: 23131

HAUPPAUGE, NY

Past

September 10, 2021 - November 16, 2023

OSAIC WEALTH, INC.

CRD#: 23131

HAUPPAUGE, NY

Past

April 12, 2021 - September 10, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MELVILLE, NY

Past

August 27, 2020 - September 10, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MELVILLE, NY

Past

May 11, 2012 - September 11, 2020

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODBURY, NY

Past

September 5, 2008 - May 1, 2012

SIGNATOR INVESTORS, INC.

CRD#: 468

HAUPPAUGE, NY

Past

October 19, 2005 - September 12, 2008

PARK AVENUE SECURITIES LLC

CRD#: 46173

BOHEMIA, NY

Past

September 6, 2005 - October 10, 2005

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

January 22, 2002 - August 11, 2005

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

September 7, 1999 - January 30, 2002

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

September 7, 1999 - January 30, 2002

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, 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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(9/5/2025)

California
(9/5/2025)

Colorado
(9/5/2025)

Connecticut
(9/5/2025)

Delaware
(9/5/2025)

Florida
(9/5/2025)

Georgia
(9/5/2025)

Illinois
(9/5/2025)

Kansas
(9/5/2025)

Maine
(9/5/2025)

Maryland
(9/5/2025)

Massachusetts
(9/5/2025)

New Jersey
(9/5/2025)

New York
(9/5/2025)

IAR

New York
(9/5/2025)

North Carolina
(9/5/2025)

Ohio
(9/5/2025)

Pennsylvania
(9/5/2025)

South Carolina
(9/5/2025)

Tennessee
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Utah
(9/5/2025)

Virginia
(9/5/2025)

Washington
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/30/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/3/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	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.

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Advisor Monitoring

Firm Stability Insights

John Surace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Surace's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

EQUITABLE ADVISORS, LLC

SIGNATOR INVESTORS, INC.

PARK AVENUE SECURITIES LLC

SIGNATOR INVESTORS, INC.

HORNOR, TOWNSEND & KENT, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/30/1999

SIE

Date: 10/1/2018

Series 7

Date: 7/19/2013

Series 6

Date: 9/3/1999

Series 24

Date: 11/21/2013

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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