John A. Gordon

CETERA INVESTMENT ADVISERS LLC

WALPOLE, MA 02081

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CRD#: 5298269

Professional summary

John Andrew Gordon, who also goes by John Gordon, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Walpole, Massachusetts and CETERA FINANCIAL SPECIALISTS LLC located in Walpole, Massachusetts.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. John has worked at 10 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Gordon

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) SUMMIT STAR FINANCIAL, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, PRINCIPAL AND INDEPENDENT FINANCIAL ADVISOR, OWNER, SECURITIES AND FINANCIAL PLANNING, 60H/WEEK, 35H/WEEK DURING TRADING HOURS, SINCE 08/2016. 2) SUMMIT STAR ADVISORY, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, DBA FOR ADVISORY SERVICES, OWNER, FINANCIAL ADVISORY SERVICES, ADVICE, ASSET MANAGEMENT, 40H/WEEK, SINCE 08/2016.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Andrew Gordon's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 21, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 55 West St Ste 201, Walpole, MA 02081

RIA

CRD#: 105644

WALPOLE, MA

Current

December 15, 2022 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 55 West St Ste 201, Walpole, MA 02081

CRD#: 10358

Walpole, MA

Past

June 29, 2018 - December 15, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

WESTBOROUGH, MA

Past

October 21, 2016 - October 15, 2024

THE PATRIOT FINANCIAL GROUP, LLC

RIA

CRD#: 172470

WALPOLE, MA

Past

August 31, 2016 - July 3, 2018

LPL FINANCIAL LLC

CRD#: 6413

WESTBOROUGH, MA

Past

October 15, 2012 - September 7, 2016

MML INVESTORS SERVICES, LLC

CRD#: 10409

NORWOOD, MA

Past

September 16, 2009 - October 2, 2012

SIGNATOR INVESTORS, INC.

CRD#: 468

WESTBOROUGH, MA

Past

January 31, 2008 - June 26, 2009

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

WELLESLEY, MA

Past

January 17, 2008 - June 26, 2009

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

WELLESLEY, MA

Past

May 31, 2007 - December 4, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

WELLESLEY, MA

Past

May 7, 2007 - December 4, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

WELLESLEY, MA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(1/6/2023)

Connecticut
(12/21/2022)

Florida
(12/15/2022)

Massachusetts
(12/15/2022)

IAR

Massachusetts
(12/21/2022)

North Carolina
(12/15/2022)

Rhode Island
(12/15/2022)

Vermont
(12/15/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/21/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/15/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/4/2007

General Securities Representative Examination

SRO Registrations

FINRA

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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Advisor Monitoring

Firm Stability Insights

John A. Gordon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Andrew Gordon's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

SECURITIES AMERICA, INC.

THE PATRIOT FINANCIAL GROUP, LLC

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

SIGNATOR INVESTORS, INC.

CETERA INVESTMENT SERVICES LLC

BANCNORTH INVESTMENT GROUP, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/21/2016

SIE

Date: 10/1/2018

Series 31

Date: 6/15/2007

Series 7

Date: 5/4/2007

FINRA

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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