JS
John Surace
CETERA INVESTMENT ADVISERS LLC
HAUPPAUGE, NY 11788
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CRD#: 4006689
JS
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.
1)S&P ASSOCIATES OF LI, INC. DBA S&P FINANCIAL SERVICES AND DBA S&P FINANCIAL POSITION: President NATURE: we offer clients, investment management, retirement planning, estate planning,and overall financial planning through S&P Financial Services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 100 START DATE: 06/02/2021 ADDRESS: 1300 VETERANS HIGHWAY, SUITE 120, HAUPPAUGE NY 11788, United States DESCRIPTION: meet with clients, review investment performance,manage client relationships, review and approve trades, monitor models and rebalance 2)INSURANCE SALES- EQUITABLE, MASS MUTUAL AND ANNUCO POSITION: insurance agent NATURE: sale of fixed life insurance to retail and commercial customers INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/20/2021 ADDRESS: 1300 Veterans Highway, Suite 120, hauppauge NY 11788, United States DESCRIPTION: promote the sale of fixed life insurance, prospect clients, process paperwork? 3) FINEST RETIREMENT SERVICES POSITION: financal advisor NATURE: To provide financial services INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 06/12/2024 ADDRESS: 1300 VETERANS MEMORIAL HWY, SUITE 120, HAUPPAUGE NY 11788, United States DESCRIPTION: To provide financial services to clients of finest retirement services 4) CINCINATTI LIFE POSITION: FINANCIAL ADVISOR NATURE: FIXED LIFE INSURANCE INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/02/2025 ADDRESS: 1300 VETERANS MEMORIAL HWY, SUITE 120, HAUPPAUGE NY 11788, United States DESCRIPTION: FIXED LIFE INSURANCE ONLY
CRS (Client Relationship Summary) - RIA
Click below to view John Surace'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
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 11788RIA
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 11788BD
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.
BD
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.
BD
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
BD
CRD#: 15340
MELVILLE, NY
Past
May 11, 2012 - September 11, 2020
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WOODBURY, NY
Past
September 5, 2008 - May 1, 2012
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
HAUPPAUGE, NY
Past
October 19, 2005 - September 12, 2008
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
BOHEMIA, NY
Past
September 6, 2005 - October 10, 2005
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
January 22, 2002 - August 11, 2005
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
September 7, 1999 - January 30, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 7, 1999 - January 30, 2002
MSI FINANCIAL SERVICES, INC.
BD
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".
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(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Illinois(9/5/2025)
RR
Iowa(9/5/2025)
RR
Kansas(9/5/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Missouri(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New Mexico(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Hauppauge, NY 11788TRUST BUT VERIFY
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