John W. Krumpotich

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CRD#: 4817564

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 W Krumpotich, who also goes by John W Krumpton, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2005. John had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John W Krumpton

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 ENTITY:DIESEL HOLDINGS LLC; No; 4 W WATER ST; SMITHSBURG; MD; 21719; RENTAL PROPERTY; OWNER; 1/1/2017; 1; 0; MAINTAIN AND COLLECT RENT 2. NAME OF ENTITY:WATER STREET FINANCIAL LLC; Yes; 4 W WATER ST; SMITHSBURG; MD; 21719; FINANCIAL SERVICES/DBA; OWNER; 3/18/2014; 80; 80; SALE FIXED INSURANCE, SECURITIES AND INVESTMENT PRODUCTS 3. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 4 W WATER ST; SMITHSBURG; MD; 21719; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 2/21/2014; 40; 20; SALES OF FIXED INSURANCE PRODUCTS 4. NAME OF ENTITY:Cascade Properties LLC; No; 4 W Water Street; cascade; MD; 21719; Property Rental; Owner; 4/6/2020; 8; 0; Collect rents. 5. NAME OF ENTITY:DSF Wealth Group; Yes; 25009 Lake Wastler Drive; Cascade; MD; 21719; Financial Services/dba; Rep; 4/15/2021; 120; 120; Sale and Service Insurance, Securities and Investment Products 6. NAME OF OTHER BUSINESS: RITCHIE HOLDINGS LLC; INVESTMENT RELATED: NO; ADDRESS: 25009 LAKE WASTLER DRIVE; CASCADE; MD 21719; NATURE OF BUSINESS: REAL ESTATE HOLDINGS; START DATE: 06/24/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: COLLECT RENTS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 29, 2023 - December 31, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Cascade, MD

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Cascade, MD

Past

June 9, 2021 - December 31, 2023

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Cascade, MD

Past

April 7, 2014 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Cascade, MD

Past

March 12, 2014 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Cascade, MD

Past

December 3, 2009 - August 16, 2013

PENN INVESTMENT ADVISORS, INC.

RIA

CRD#: 151715

NEW MARKET, PA

Past

January 8, 2007 - December 8, 2009

AMP ASSET MANAGEMENT, INC.

RIA

CRD#: 119507

MYERSVILLE, MD

Past

January 8, 2007 - August 16, 2013

FIRST SAVINGS SECURITIES, INC.

CRD#: 132016

NEW MARKET, MD

Past

March 20, 2006 - January 8, 2007

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

MYERSVILLE, MD

Past

August 3, 2005 - January 8, 2007

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

MYERSVILLE, MD

Past

March 30, 2005 - June 8, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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".

CETERA INVESTMENT ADVISERS LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/21/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/2005

General Securities Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

John W. Krumpotich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

PENN INVESTMENT ADVISORS, INC.

AMP ASSET MANAGEMENT, INC.

FIRST SAVINGS SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2005

SIE

Date: 10/1/2018

Series 7

Date: 2/17/2005

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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