JP
John S. Pimental
CETERA INVESTMENT ADVISERS LLC
Worcester, MA 01608
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CRD#: 4534317
JP
Professional summary
John Scott Pimental is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Worcester, Massachusetts and CETERA ADVISORS LLC located in Worcester, Massachusetts.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. John has worked at 8 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: 12/2022; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES, & LONG TERM CARE; 2. NAME OF OTHER BUSINESS: TRUCHOICE FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: 400 HWY 169 SOUTH SUITE 200 ST LOUIS PARK MN 55426; NATURE OF BUSINESS: INSURANCE; START DATE: 1/2019; POSITION/TITLE/RELATIONSHIP: INDEPENDENT AGENT; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: SELLS INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: OCEAN STATE BUSINESS DEVELOPMENT AUTHORITY ; INVESTMENT RELATED: NO; ADDRESS: 300 JEFFERSON BLVD SUITE #105 WARWICK, RI 02888 ; NATURE OF BUSINESS: SMALL BUSINESS ASSOCIATION ; START DATE: 1/2022 ; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: 1-2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 ; BRIEF DESCRIPTION OF DUTIES: DETERMIN MISSION AND VISION, SELECT OFFICER AND REVIEW PERFORMANCE, ATTEND MEETING AND PROVIDE RESOURCES, SERVICES ; 4. NAME OF OTHER BUSINESS: ARROW WEALTH MANAGEMENT LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view John Scott Pimental'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 554 Main St Suite 250, Worcester, MA 01608Office #2: 16 Mason Ave Ste 3, North Attleboro, MA 02760RIA
CRD#: 105644
Worcester, MA
Current
January 28, 2019 - Present
CETERA ADVISORS LLC
Office #1: 554 Main St Suite 250, Worcester, MA 01608Office #2: 16 Mason Ave Ste 3, North Attleboro, MA 02760BD
CRD#: 10299
Worcester, MA
Past
January 29, 2019 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
JOHNSTON, RI
Past
October 31, 2017 - January 31, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
NORTH ATTLEBORO, MA
Past
October 27, 2017 - January 31, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
NORTH ATTLEBORO, MA
Past
May 3, 2011 - October 30, 2017
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
ANDOVER, MA
Past
April 29, 2011 - October 30, 2017
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
ANDOVER, MA
Past
September 26, 2008 - May 12, 2011
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WARWICK, RI
Past
June 29, 2007 - May 12, 2011
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WARWICK, RI
Past
March 15, 2004 - July 5, 2007
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
WESTERLY, RI
Past
May 31, 2002 - February 23, 2004
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 31, 2002 - February 23, 2004
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
Colorado(11/4/2019)
RR
Connecticut(1/28/2019)
RR
Florida(1/28/2019)
RR
Maine(1/28/2019)
RR
Massachusetts(1/28/2019)
IAR
Massachusetts(3/21/2024)
RR
New Hampshire(1/28/2019)
RR
New Jersey(1/2/2025)
RR
New York(1/28/2019)
RR
Rhode Island(1/28/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Worcester, MA 01608TRUST BUT VERIFY
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