John L. Chiappetta
CETERA INVESTMENT ADVISERS LLC
ANTIOCH, IL
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CRD#: 4684789
Professional summary
John Leo Chiappetta, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Antioch, Illinois and CETERA WEALTH SERVICES, LLC located in Kenosha, Wisconsin.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. John has worked at 10 firms and has passed the Series 66, 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/2003 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 AND ANNUITIES 2. NAME OF OTHER BUSINESS: KAIZEN FINANCIAL PARTNERS, INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2022 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: GB ROAD LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE START DATE: 07/2016 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: NONE APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: I HAVE NO DUTIES WITH THIS ENTITY OTHER THAN JUST BEING A PARTNER. 4. NAME OF OTHER BUSINESS: SOUTHPORT FINANCIAL CENTER LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE START DATE: 07/2016 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PARTNER 5. NAME OF OTHER BUSINESS: ROOT HG INC. INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: RESTAURANT INDUSTRY START DATE: 01/2017 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MANAGE EMPLOYEES OF A RESTAURANT GROUP 6. NAME OF OTHER BUSINESS: KAIZEN LP INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX AND ACCOUNTING START DATE: 01/2022 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: MANAGEMENT OF PERSONNEL, TAX PLANNING 7. NAME OF OTHER BUSINESS: KAIZEN MANAGEMENT INC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX ENTITY START DATE: 01/2022 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: NONE APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: OWNER 8. NAME OF OTHER BUSINESS: SCL CPA PL INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX AND ACCOUNTING START DATE: 10/2017 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: NONE APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: MANAGEMENT OF PERSONNEL 9. NAME OF OTHER BUSINESS: SCL II CPA PL INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX ENTITY START DATE: 10/2019 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MANAGEMENT OF PERSONNEL
CRS (Client Relationship Summary) - RIA
Click below to view John Leo Chiappetta'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: 2005
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 6905 Green Bay Road #202, Kenosha, WI 53142RIA
CRD#: 105644
ANTIOCH, IL
Current
February 8, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6905 Green Bay Road #104, Kenosha, WI 53142BD
CRD#: 13572
Kenosha, WI
Past
February 8, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ANTIOCH, IL
Past
February 29, 2016 - February 14, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Kenosha, WI
Past
February 29, 2016 - February 14, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Kenosha, WI
Past
May 2, 2011 - February 29, 2016
AUSDAL FINANCIAL PARTNERS, INC.
RIA
CRD#: 7995
KENOSHA, WI
Past
May 2, 2011 - February 29, 2016
AUSDAL FINANCIAL PARTNERS, INC.
BD
CRD#: 7995
KENOSHA, WI
Past
January 3, 2011 - May 3, 2011
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
KENOSHA, WI
Past
January 3, 2011 - May 3, 2011
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
KENOSHA, WI
Past
June 9, 2009 - December 31, 2010
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
GRAYSLAKE, IL
Past
June 9, 2009 - December 31, 2010
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
GRAYSLAKE, IL
Past
June 15, 2005 - May 15, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
GRAYSLAKE, IL
Past
April 1, 2005 - May 15, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
GRAYSLAKE, IL
Past
January 3, 2005 - March 2, 2005
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, MA
Past
July 30, 2003 - December 31, 2004
OBERWEIS SECURITIES, INC.
BD
CRD#: 42060
LISLE, IL
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(2/8/2022)
RR
California(2/8/2022)
RR
Florida(2/8/2022)
RR
Georgia(6/30/2025)
RR
Illinois(2/8/2022)
IAR
Illinois(6/29/2023)
RR
Indiana(2/8/2022)
RR
Maryland(3/24/2022)
RR
Michigan(2/8/2022)
RR
Minnesota(2/8/2022)
RR
Pennsylvania(5/16/2024)
RR
Virginia(2/8/2022)
RR
Wisconsin(2/8/2022)
IAR
Wisconsin(6/29/2023)
RR
Wyoming(11/8/2022)
Exams
State Security Law 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.
