John L. Connors
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Lawrence Connors JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2003. John had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2024 - October 17, 2025
CETERA INVESTMENT ADVISERS LLC
September 30, 2014 - March 21, 2024
CETERA ADVISORS LLC
September 30, 2014 - October 17, 2025
CETERA ADVISORS LLC
January 27, 2012 - October 9, 2014
GILFORD FINANCIAL CORP.
January 27, 2012 - October 9, 2014
GILFORD SECURITIES INCORPORATED
September 21, 2007 - January 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 2007 - January 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2003 - September 25, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 3, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 3, 2003 - September 25, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
