Timothy A. Johnson

CETERA INVESTMENT ADVISERS LLC

PASADENA, CA 91101

Some features on this profile are disabled

CRD#: 4145501

Professional summary

Timothy Alan Johnson, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pasadena, California and CETERA WEALTH SERVICES, LLC located in Pasadena, California.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Timothy has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 2/2021; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE; 2. NAME OF OTHER BUSINESS: TIMOTHY A. JOHNSON; INVESTMENT RELATED: NO; ADDRESS: 2737 S KIHEI ROAD UNIT 232 KIHEI HI 96753; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 2/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: VACATION RENTAL CONDOMINIUM;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Alan Johnson'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 301 E Colorado Blvd. Ste 400, Pasadena, CA 91101

RIA

CRD#: 105644

PASADENA, CA

Current

April 14, 2003 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 301 E Colorado Blvd. Ste 400, Pasadena, CA 91101

CRD#: 13572

Pasadena, CA

Past

September 27, 2007 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

October 29, 2004 - August 31, 2005

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

October 29, 2004 - September 6, 2005

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

September 12, 2002 - March 14, 2003

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

September 12, 2002 - March 14, 2003

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

September 12, 2002 - March 14, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

January 1, 2002 - September 4, 2002

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

March 23, 2000 - January 1, 2002

MANULIFE WOOD LOGAN, INC.

CRD#: 19177

STAMFORD, CT

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
(1/9/2019)

California
(4/14/2003)

IAR

California
(6/29/2023)

Colorado
(1/24/2008)

Illinois
(4/19/2023)

Mississippi
(8/28/2024)

Nevada
(1/9/2019)

Oregon
(7/18/2017)

Texas
(1/9/2019)

IAR

Texas
(6/29/2023)

Virginia
(1/2/2014)

Washington
(9/21/2015)

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

IAR

Series 66

Date: 3/23/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/13/2000

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: 11/28/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/22/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

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
11/18/2022	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.

Similar Advisors

John Powell

EQUITABLE ADVISORS, LLC

IAR

Los Angeles, CA

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

Maria Zimiga

J.P. MORGAN SECURITIES LLC

Toluca Lake, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Timothy A. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Alan Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CETERA ADVISORS LLC

VOYA FINANCIAL ADVISORS, INC.

SUNAMERICA SECURITIES, INC.

SPELMAN & CO., INC.

SENTRA SECURITIES CORPORATION

JOHN HANCOCK DISTRIBUTORS LLC

MANULIFE WOOD LOGAN, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/23/2005

Series 63

Date: 12/13/2000

SIE

Date: 10/1/2018

Series 7

Date: 11/28/2001

Series 6

Date: 3/22/2000

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

Similar Advisors