JA
John H. Adams
CETERA INVESTMENT ADVISERS LLC
RALEIGH, NC 27612
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CRD#: 5412830
JA
Professional summary
John Hamilton Adams II, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Raleigh, North Carolina and CETERA WEALTH SERVICES, LLC located in Raleigh, North Carolina.
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 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. NAME OF OTHER BUSINESS:ADAMS FINANCIAL ;
INVESTMENT RELATED: YES ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES ;
START DATE: 03/2019 ;
POSITION: FINANCIAL ADVISOR / BACKUP DESIGNATED SUPERVISOR ;
APX NUMBER OF HOURS PER WEEK: 40 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ;
BRIEF DESCRIPTION OF DUTIES: PROSPECT, OBTAIN, SERVICE CLIENTS AS FINANCIAL ADVISOR. SUPERVISE BRANCH REGISTERED REPS AS BACKUP DESIGNATED SUPERVISOR ;
2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ;
INVESTMENT RELATED: YES ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: FIXED INSURANCE ;
START DATE: 02/2019 ;
APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ;
APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES ;
3.NAME OF OTHER BUSINESS:ADAMS FINANCIAL PARTNERS, INC ;
INVESTMENT RELATED: NO ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS:LIFE INSURANCE SALES ;
START DATE: 03/2019 ;
POSITION/TITLE/RELATIONSHIP:INSURANCE AGENT ;
APX NUMBER OF HOURS PER WEEK: 0-3 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 0-3 ;
BRIEF DESCRIPTION OF DUTIES: COMPLETE, PROCESS, AND SERVICE INSURANCE APPLICATIONS AND POLICIES ;
4. HOPE COMMUNITY CHURCH,
BUDGET COUNSELOR, VOLUNTEER, 2 HOURS PER WEEK, NO COMPENSATION;
5. NAME OF OTHER BUSINESS: CAROLINA LEGEND;
INVESTMENT RELATED: NO;
ADDRESS: 1036 DAWSON CREEK RD, MORRISVILLE, NC 27560;
NATURE OF BUSINESS: BASKETBALL;
START DATE: 01/01/2017;
POSITION/TITLE/RELATIONSHIP: BASKETBALL COACH;
APX NUMBER OF HOURS PER WEEK: 8 HOURS;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES;
BRIEF DESCRIPTION OF DUTIES: COORDINATE TRAVEL, TRAIN, AND COACH KIDS ;
6. NAME OF OTHER BUSINESS: JOHN ADAMS, LLC
INVESTMENT RELATED: NO
ADDRESS: 2044 AVERTON LANE, MORRISVILLE, NC 27560
NATURE OF BUSINESS: LLC
START DATE: 1/2017
POSITION/TITLE/RELATIONSHIP: OWNER
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: ENTITY SET UP FOR PERSONAL TAX STRATEGY
CRS (Client Relationship Summary) - RIA
Click below to view John Hamilton Adams II'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: 2014
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4141 Park Lake Ave Ste 120, Raleigh, NC 27612RIA
CRD#: 105644
RALEIGH, NC
Current
June 16, 2010 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4141 Park Lake Ave Ste 120, Raleigh, NC 27612BD
CRD#: 13572
Raleigh, NC
Past
June 23, 2010 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 9, 2009 - June 17, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RALEIGH, NC
Past
January 17, 2008 - June 17, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
RALEIGH, NC
Past
November 6, 2007 - December 20, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
TROY, MI
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
Florida(9/4/2012)
RR
Georgia(4/21/2023)
RR
Louisiana(9/17/2010)
RR
Michigan(6/16/2010)
RR
Missouri(1/6/2016)
RR
North Carolina(6/16/2010)
IAR
North Carolina(6/29/2023)
RR
Ohio(10/11/2017)
RR
South Carolina(1/31/2019)
RR
Texas(9/18/2013)
IAR
Texas(6/29/2023)
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
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#: 105644Raleigh, NC 27612TRUST BUT VERIFY
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