JC
John C. Carlson
CETERA INVESTMENT ADVISERS LLC
LEOLA, PA 17540
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CRD#: 5215678
JC
Professional summary
John C Carlson, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Leola, Pennsylvania and CETERA FINANCIAL SPECIALISTS LLC located in Leola, Pennsylvania.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. John has worked at 3 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) Penn Street Mortgage, not investment related, 117-123 W Gay Street, West Chester, PA 19380, residential mortgage products, start April 2007, 20-40 hours per week - during trading hours; Mortgage Broker/Co-Owner.
2) SMOKER & CO DBA SMOKER WEALTH MANAGEMENT; INVESTMENT RELATED; 49 EAST MAIN ST, LEOLA, PA 19380; FINANCIAL ADVISORY SERVICES; START 3/2015; 30-40 HOURS/WEEK DURING TRADING HOURS; FINANCIAL ADVISOR
3) RECEIVING RENEWALS ON LIFE AND DISABILITY INSURANCE POLICIES
4)NAME OF OTHER BUSINESS: TJF PROPERTIES
INVESTMENT RELATED: NO
ADDRESS: 18 W. GAY ST. 2ND FLOOR WEST CHESTER PA 19380
NATURE OF BUSINESS: REAL ESTATE RENTAL
START DATE: 5/2018
APX NUMBER OF HOURS PER WEEK: 1
APX NUMBER OF HOURS DURING TRADING HOURS: 1
POSITION: UNPAID OUTSIDE PART OWNER
BRIEF DESCRIPTION OF DUTIES: GENERAL DUTIES
CRS (Client Relationship Summary) - RIA
Click below to view John C Carlson'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®
Experience
Current
March 25, 2015 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 49 E. Main Street, Leola, PA 17540Office #2: 18 West Gay Street, West Chester, PA 19380RIA
CRD#: 105644
LEOLA, PA
Current
March 25, 2015 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 49 E. Main Street, Leola, PA 17540Office #2: 18 West Gay Street 2nd Floor, West Chester, PA 19380BD
CRD#: 10358
Leola, PA
Past
February 27, 2007 - April 1, 2015
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
WESTCHESTER, PA
Past
November 9, 2006 - April 1, 2015
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
WESTCHESTER, PA
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
Delaware(3/25/2015)
RR
Florida(10/6/2016)
RR
Maryland(2/11/2020)
RR
Massachusetts(12/13/2016)
RR
Pennsylvania(3/25/2015)
IAR
Pennsylvania(3/25/2015)
RR
Texas(5/21/2015)
IAR
Texas(2/23/2023)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Leola, PA 17540TRUST BUT VERIFY
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