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JE

John D. Eller

Some features on this profile are disabled
CRD#: 5628984
JE

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 Dewalden Eller III, who also goes by John Dewalden Eller, John D Eller, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2009. John had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

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Question & Answer

Are you a "fiduciary"?
No

Aliases

John Dewalden Eller | John D Eller

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) Maestro Insurance Services, Inc.; Non-investment related; 755 Highland Oaks Dr., Suite 101, Winston-Salem, NC, 27103; Insurance Agent; Agent; 9/1/2019; 5hrs; 5hrs; Meet with clients and provide Annuities, Life Insurance and Long Term Care Insurance when they are appropriate. 2) NAIFA-NC Government Relations Committee; Non-investment related; 9140 Arrowpoint Blvd. Ste 260, Charlotte, NC, 28273; Board Position/Officer; Other; 1/1/2014; 2hrs; 2hrs; As a member of the Board, I assist in communicating with Sate government representatives concerning Insurance and Financial Services. 3) Maestro Wealth Advisors, LLC; Investment related; 755 Highland Oaks Dr., Suite 101, Winston-Salem, NC, 27103; Other; Employee; 9/16/2019; 135hrs; 130hrs; Meet with clients and advise on aspects of Financial Planning that includes Retirement Planning, Tax Planning, and Investment Management. 4) Avantax Insurance Agency, LLC; Investment Related; 3200 Olympus Blvd, Dallas, TX, 75019; Equity Indexed Annuity; Agent; 2/23/2021; 5hrs; 5hrs; I may have the ability to sell any, or all of the following products: variable annuities, fixed annuities, any/all types of index annuities, variable insurance (e.g. VUL/VIL).

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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

March 3, 2021 - April 29, 2022

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Winston Salem, NC
Past

March 3, 2021 - April 29, 2022

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Winston Salem, NC
Past

October 18, 2019 - March 2, 2021

BROOKSTONE WEALTH ADVISORS, LLC

RIA
CRD#: 137658
GREENSBORO, NC
Past

October 18, 2019 - March 2, 2021

BROOKSTONE ASSET MANAGEMENT, LLC

RIA
CRD#: 153467
GREENSBORO, NC
Past

September 10, 2019 - March 2, 2021

WORLD EQUITY GROUP, INC.

BD
CRD#: 29087
Winston-Salem, NC
Past

May 4, 2016 - September 5, 2019

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Mocksville, NC
Past

July 10, 2015 - April 5, 2016

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
WINSTON SALEM, NC
Past

October 27, 2009 - July 24, 2015

NYLIFE SECURITIES LLC

BD
CRD#: 5167
WINSTON-SALEM, NC

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/15/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/24/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/26/2009
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

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Contact information

Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)
AAS ADV PART 2A APPENDIX WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts140,306
AUM (Assets Under Management)$ 46,109,939,749

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024
Cover Page
Report
11/28/2023
Cover Page
Report
12/16/2022
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.

Company Information

AVANTAX ADVISORY SERVICES

CRD#: 104556

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