Jon P. Topolski
CETERA INVESTMENT ADVISERS LLC
BROKEN ARROW, OK 74012
Some features on this profile are disabled
CRD#: 5037466
Professional summary
Jon Patrick Topolski, CFP®, who also goes by Jon Topolski, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Broken Arrow, Oklahoma and CETERA ADVISORS LLC located in Broken Arrow, Oklahoma.
Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Jon has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon Topolski
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.) INDEPENDENT INSURANCE BROKER. IT IS NOT INVESTMENT RELATED, I DO NOT SELL VARIABLE PRODUCTS. START DATE: APRIL, 2009. I DEVOTE 20 HOURS PER WEEK TO THE BUSINESS AND 4 HOURS A DAY FIVE DAYS A WEEK. I HELP PEOPLE FIND LIFE INSURANCE. 2.) BASEBALL HITTING INSTRUCTOR. NON-INVESTMENT. 2 HOURS PER WEEK, NOT DURING TRADING HOURS. PERSONAL HITTING COACH FOR HIGH SCHOOL AND COLLEGIATE ATHLETES. 3.) VINEYARD FINANCIAL GROUP, INC. DBA. President. STARTED 6/1/2009. SALES AND MARKETING OF INSURANCE PRODUCTS AND COLLECTION OF RENT FROM SUBLET TENANT. 5 HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Jon Patrick Topolski'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: 2018
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3101 North Hemlock Circle Suite 130, Broken Arrow, OK 74012RIA
CRD#: 105644
BROKEN ARROW, OK
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 3101 North Hemlock Circle Suite 130, Broken Arrow, OK 74012BD
CRD#: 10299
Broken Arrow, OK
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
Broken Arrow, OK
Past
July 7, 2009 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
BROKEN ARROW, OK
Past
July 7, 2009 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
BROKEN ARROW, OK
Past
December 12, 2005 - May 13, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
AUSTIN, TX
Past
November 22, 2005 - May 13, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
AUSTIN, TX
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
Alabama(9/8/2022)
RR
Arkansas(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Idaho(9/8/2022)
RR
Illinois(9/8/2022)
RR
Kansas(8/28/2024)
RR
Louisiana(9/8/2022)
RR
Michigan(9/8/2022)
RR
Minnesota(9/8/2022)
RR
Missouri(9/8/2022)
RR
New Mexico(9/8/2022)
IAR
Oklahoma(11/12/2020)
RR
Oklahoma(9/8/2022)
RR
South Dakota(9/8/2022)
RR
Tennessee(9/8/2022)
IAR
Texas(11/12/2020)
RR
Texas(9/8/2022)
RR
Virginia(9/8/2022)
RR
Wyoming(1/3/2024)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Broken Arrow, OK 74012TRUST BUT VERIFY
Monitor Jon Topolski
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
