John R. Cockrell

CETERA INVESTMENT ADVISERS LLC

Bethesda, MD 20817

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CRD#: 4355426

Professional summary

John Richardson Cockrell, who also goes by J Richard Cockrell, John Richardson Cockrell, Rich Cockrell, Richard Cockrell, John R Cockrell, John Cockrell, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bethesda, Maryland and CETERA WEALTH SERVICES, LLC located in Bethesda, Maryland.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. John has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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: 03/2020 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, ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: HARVEST WEALTH INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2022 POSITION/TITLE/RELATIONSHIP: CLIENT ASSOCIATE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 37 BRIEF DESCRIPTION OF DUTIES: CLIENT SERVICE, TRANSACTIONAL SUPPORT, ACCOUNT OPENING, OPERATIONAL SUPPORT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Richardson Cockrell'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 6720b Rockledge Drive Suite 440a, Bethesda, MD 20817

RIA

CRD#: 105644

Bethesda, MD

Current

June 15, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 6720-b Rockledge Dr Suite 440-a, Bethesda, MD 20817

CRD#: 13572

Bethesda, MD

Past

June 15, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Bethesda, MD

Past

October 29, 2018 - June 17, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WASHINGTON, DC

Past

October 29, 2018 - June 17, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WASHINGTON, DC

Past

November 21, 2017 - August 2, 2018

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

BOSTON, MA

Past

November 15, 2017 - August 2, 2018

SANTANDER SECURITIES LLC

CRD#: 41791

BOSTON, MA

Past

January 19, 2017 - October 24, 2017

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

BOWIE, MD

Past

August 26, 2016 - October 24, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

BOWIE, MD

Past

November 9, 2015 - July 27, 2016

PRUCO SECURITIES, LLC.

CRD#: 5685

NEEDHAM, MA

Past

November 19, 2003 - May 24, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

WASHINGTON, DC

Past

November 19, 2003 - May 24, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 19, 2003 - November 19, 2003

RIGGS SECURITIES INC.

CRD#: 46202

WASHINGTON, DC

Past

September 16, 2003 - November 19, 2003

RIGGS SECURITIES INC.

RIA

CRD#: 46202

WASHINGTON, DC

Past

September 20, 2002 - October 31, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SOUTH PORTLAND, ME

Past

April 27, 2001 - October 31, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 27, 2001 - October 31, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

District of Columbia
(6/17/2022)

IAR

District of Columbia
(7/2/2025)

Maryland
(6/16/2022)

IAR

Maryland
(6/29/2023)

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: 9/26/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/6/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/18/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/9/2015

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)

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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
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.

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Advisor Monitoring

Firm Stability Insights

John R. Cockrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PRUCO SECURITIES, LLC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RIGGS SECURITIES INC.

RIGGS SECURITIES INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/26/2016

Series 63

Date: 1/6/2016

SIE

Date: 8/2/2018

Series 7

Date: 1/18/2017

Series 6

Date: 11/9/2015

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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