John W. Wheeler
CETERA INVESTMENT ADVISERS LLC
HOUSTON, TX 77024
Some features on this profile are disabled
CRD#: 464536
Professional summary
John William Wheeler JR, CFP®, who also goes by John W Wheeler Jr, John William Wheeler, John William Wheeler Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA ADVISORS LLC located in Houston, Texas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. John has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John W Wheeler Jr | John William Wheeler | John William Wheeler Jr
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) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 11/2021, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: 12, APX NUMBER OF HOURS DURING TRADING HOURS: 12, SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE, PROPERTY & CASUALTY; 2) TOTUS WEALTH MANAGEMENT, LLC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 05/2021, FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) TOTUS FINANCIAL GROUP, INC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, EXPENSE MANAGEMENT, STARTED 05/2021, FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 2, MAY BE DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DIRECTOR OF FIELD DEVELOPMENT; 4) WHEELER & ASSOCIATES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, INSURANCE, STARTED 04/1969, PARTNER, APX NUMBER OF HOURS PER WEEK: 2, 2 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE; 5) GULF COAST INSURANCE SERVICES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, insurance, STARTED 04/1969, PARTNER, APX NUMBER OF HOURS PER WEEK: 2, 2 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE; 6) TEXAS GULF COAST FINANCIAL GROUP LLC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 04/2021, FINANCIAL PROFESSIONAL, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DIRECTOR OF FIELD DEVELOPMENT; 7) NAIFA CHICAGOLAND, INVESTMENT RELATED, 124 W LAKE ST BLOOMINGDALE, IL, 60108, NON-PROFIT, STARTED 01/1980, NATIONAL COMMITTEEMAN, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER; 8) NAME OF OTHER BUSINESS: TOTUS INSURANCE AGENCY, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 11/2021, POSITION/TITLE/RELATIONSHIP: EXECUTIVE SENIOR PARTNER, APX NUMBER OF HOURS PER WEEK: 10, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OVERSEE PRODUCT DESIGN AND SELECTION; 9) NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE SETTLEMENT START DATE: 2/2022 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH CETERA APPROVED VENDORS; (10) NAME OF OTHER BUSINESS: NAIFA ; INVESTMENT RELATED: NO; ADDRESS: 1000 WILSON BLVD STE 1890 ARLINGTON, VA; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2025; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: ESTABLISHING GOALS AND OBJECTIVES, COMMUNICATING VALUE OF MEMBERSHIP AND INVOLVEMENT, SECRETARY; (11) NAME OF OTHER BUSINESS: GIG WORKER SOLUTIONS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: REFERRALS; START DATE : 09/2023; POSITION/TITLE/RELATIONSHIP: REFERER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: REFER SELF EMPLOYED INDIVIDUALS TO GIG WORKER SOLUTIONS FOR SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view John William Wheeler JR'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®
CFP®
Start date: 1986
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 701 North Post Oak Rd Suite 320, Houston, TX 77024RIA
CRD#: 105644
HOUSTON, TX
Current
April 30, 2021 - Present
CETERA ADVISORS LLC
Office #1: 701 North Post Oak Rd Suite 320, Houston, TX 77024BD
CRD#: 10299
Houston, TX
Past
May 3, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
February 19, 2009 - April 30, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
HOUSTON, TX
Past
February 12, 2009 - April 30, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HOUSTON, TX
Past
January 20, 2005 - October 16, 2008
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
WEST CHICAGO, IL
Past
January 13, 2005 - October 16, 2008
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
OAKBROOK TERRACE, IL
Past
December 1, 1998 - November 22, 2004
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
BLOOMINGTON, IL
Past
July 27, 1983 - November 22, 1988
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
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
Arizona(1/14/2022)
RR
Arkansas(4/30/2021)
RR
California(4/30/2021)
RR
Colorado(4/30/2021)
RR
Florida(4/30/2021)
RR
Illinois(4/30/2021)
RR
Indiana(4/30/2021)
RR
Kansas(4/30/2021)
RR
Michigan(4/30/2021)
RR
Minnesota(11/8/2023)
RR
Mississippi(4/30/2025)
RR
Missouri(4/30/2021)
RR
Ohio(4/30/2021)
RR
Rhode Island(4/30/2021)
RR
Tennessee(6/30/2021)
RR
Texas(5/3/2021)
IAR
Texas(3/21/2024)
RR
Wisconsin(4/30/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/22/1974
Registered Representative ExaminationPrincipal/Supervisory 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
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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.
