JZ
Jonathan H. Zimpleman
CETERA INVESTMENT ADVISERS LLC
SUMTER, SC 29150
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CRD#: 4608059
JZ
Professional summary
Jonathan Henry Zimpleman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sumter, South Carolina and CETERA ADVISORS LLC located in Sumter, South Carolina.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Jonathan has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE and Series 7 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.) AXIS WEALTH TRAINING LLC; OWNER; CONSULTING; START DATE 11/01/2014; 32 HOURS PER MONTH. 2.) AXIS WEALTH PLANNING LLC; PRESIDENT; DBA; START DATE 06/01/2012; 160 HOURS PER MONTH. NAME OF OTHER BUSINESS: GBN INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: BUSINESS NETWORKING, START DATE: 07/2023, POSITION/TITLE/RELATIONSHIP: AREA DIRECTOR, APX NUMBER OF HOURS PER WEEK: 3, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: HELP AND CONSULT WITH THE LEADERSHIP TEAMS OF TWO GBN CHAPTERS; 4.) FIRST BAPTIST CHURCH; FINANCE COMMITTEE MEMBER; NON-PROFIT ORGANIZATION; START DATE: 1/1/2022; 4 HOURS PER MONTH. 5) NAME OF OTHER BUSINESS: ROTARY DISTRICT 7770, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: NON-PROFIT START DATE: 10/2023, POSITION/TITLE/RELATIONSHIP: ROTARY ASSISTANT GOVERNOR, APX NUMBER OF HOURS PER WEEK: 1, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ASSIST AND SUPPORT 6 ROTARY CLUBS, ATTEND MEETINGS; 6) NAME OF OTHER BUSINESS: FIRST BAPTIST CHURCH, INVESTMENT RELATED: NO, ADDRESS: 107 E LIBERTY ST, SUMTER, SC 29150, NATURE OF BUSINESS: CHURCH, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: DECON APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: LEADERSHIP, APPROVE BUDGET, MINISTERING TO MEMBERS; 7) NAME OF OTHER BUSINESS: COINS FOR ALZHEIMER'S RESEARCH TRUST; INVESTMENT RELATED: NO; ADDRESS: 2691 WEDGEFIELD RD, SUMTER, SC 29154; NATURE OF BUSINESS: BOARD; START DATE: 9/2025; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DEPOSITING CHECKS RECEIVED AT THE PO BOX, RECONCILING THE CHECKBOOK, DELIVERING FINANCIAL REPORTS TO THE BOARD, AND ADVISING THE BOARD;
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Henry Zimpleman'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 242 Broad Street, Sumter, SC 29150RIA
CRD#: 105644
SUMTER, SC
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 242 Broad Street, Sumter, SC 29150BD
CRD#: 10299
SUMTER, SC
Past
June 21, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SUMTER, SC
Past
June 18, 2012 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SUMTER, SC
Past
January 23, 2007 - June 20, 2012
EDWARD JONES
RIA
CRD#: 250
SUMTER, SC
Past
January 14, 2003 - June 20, 2012
EDWARD JONES
BD
CRD#: 250
SUMTER, SC
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
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Kentucky(9/8/2022)
RR
North Carolina(9/8/2022)
IAR
South Carolina(11/12/2020)
RR
South Carolina(9/8/2022)
RR
Virginia(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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.
