JV
Javier A. Vallejo
CETERA INVESTMENT ADVISERS LLC
NEWPORT BEACH, CA 92660
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CRD#: 4698101
JV
Professional summary
Javier Alejandro Vallejo is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newport Beach, California and CETERA ADVISORS LLC located in Newport Beach, California.
Javier is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Javier has worked at 6 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 REGISTERD LOCATION,
NATURE OF BUSINESS: FIXED INSURANCE,
START DATE: 9/2016,
APX NUMBER OF HOURS PER WEEK: 40,
APX NUMBER OF TRADING HOURS PER WEEK: 32.5,
POSITION/TITLE/RELATIONSHIP: AGENT,
BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG TERM CARE.
2) NAME OF OTHER BUSINESS: PACIFIC TERRA WEALTH MANAGEMENT,
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERD LOCATION,
NATURE OF BUSINESS: FINANCIAL SERVICES,
START DATE: 6/2015,
APX NUMBER OF HOURS PER WEEK: 40,
APX NUMBER OF TRADING HOURS PER WEEK: 32.5,
POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER,
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES.
3) NAME OF OTHER BUSINESS: JIMA WORLDWIDE,
INVESTMENT RELATED: NO,
ADDRESS: SAME AS REGISTERD LOCATION,
NATURE OF BUSINESS: EXPENSE COMPANY,
START DATE: 12/2012,
APX NUMBER OF HOURS PER WEEK: 1,
APX NUMBER OF TRADING HOURS PER WEEK: 1,
POSITION/TITLE/RELATIONSHIP: PRESIDENT & CEO,
BRIEF DESCRIPTION OF DUTIES: PAY BILLS FROM THIS S CORP.
4) NAME OF OTHER BUSINESS: PACIFIC TERRA TAX PLANNING;
INVESTMENT RELATED: NO;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: TAX RETURNS;
START DATE: 2/2021;
POSITION/TITLE/RELATIONSHIP: TAX PREPARER;
APX NUMBER OF HOURS PER WEEK: 2
APX NUMBER OF HOURS DURING TRADING HOURS: 2;
BRIEF DESCRIPTION OF DUTIES: PREPARE INDIVIDUAL AND BUSINESS TAX RETURNS;
CRS (Client Relationship Summary) - RIA
Click below to view Javier Alejandro Vallejo'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: 4340 Von Karman Ste 200, Newport Beach, CA 92660RIA
CRD#: 105644
NEWPORT BEACH, CA
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 4340 Von Karman Ste 200, Newport Beach, CA 92660BD
CRD#: 10299
Newport Beach, CA
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
March 13, 2009 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
IRVINE, CA
Past
March 13, 2009 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
IRVINE, CA
Past
February 1, 2008 - March 16, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
IRVINE, CA
Past
February 1, 2008 - March 16, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
IRVINE, CA
Past
November 19, 2003 - February 4, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
IRVINE, CA
Past
October 13, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 13, 2003 - February 4, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
IRVINE, CA
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(10/3/2016)
RR
California(10/3/2016)
IAR
California(3/21/2024)
RR
North Carolina(10/3/2016)
RR
South Carolina(10/3/2016)
RR
Texas(3/19/2025)
IAR
Texas(3/19/2025)
RR
Virginia(1/17/2023)
RR
Washington(1/9/2018)
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
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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.
