JV
Jonathan M. Valerie
CETERA INVESTMENT ADVISERS LLC
ROCHESTER, NY 14607
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CRD#: 5716244
JV
Professional summary
Jonathan Michael Valerie, who also goes by Jonathan Valerie, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rochester, New York and ENGLESON & ASSOCIATES located in Rochester, New York.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Jonathan has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jonathan Valerie
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: ENGLESON & ASSOCIATES, INC. - INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ADVISORY SERVICES; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE; START DATE: 9/2010; APX NUMBER OF HOURS PER WEEK: 55; APX NUMBER OF HOURS DURING TRADING HOURS: 6.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT; (2) SALVATORES'S; 455 MT. READ BLVD, ROCHESTER NY 14606; ATTORNEY; PROVIDING VARYING LEVELS OF LEGAL ADVICE; 5 TO 10 HRS A MONTH ALL DURING TRADING HOURS; COMPENSATION IS HOURLY/FLAT FEE. (3) THE LUKKEN GROUP LLC; NOT INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; PURCHASING PROPERTIES FOR THE PURPOSE OF RENTAL AND/OR DEVELOPMENT; CEO/PRESIDENT; 01/2019; APPX 7.5 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; INVOLVED IN THE PURCHASE AND DEVELOPMENT OF REAL ESTATE FOR THE PURPOSES OF RENTAL AND SALE. MOSTLY RESIDENTIAL BUT MAY INCLUDE COMMERCIAL AT SOME POINT IN THE FUTURE. (4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/20 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, DISABILITY AND LONG TERM CARE
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Michael Valerie'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 930 East Avenue Suite 300, Rochester, NY 14607RIA
CRD#: 105644
ROCHESTER, NY
Current
October 29, 2024 - Present
ENGLESON & ASSOCIATES
Office #1: 930 East Avenue Suite 300, Rochester, NY 14607RIA
CRD#: 126349
ROCHESTER, NY
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 930 East Avenue Suite 300, Rochester, NY 14607BD
CRD#: 13572
Rochester, NY
Past
May 8, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
July 11, 2012 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
ROCHESTER, NY
Past
May 3, 2010 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
ROCHESTER, NY
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(7/20/2021)
RR
Arizona(9/20/2019)
RR
Colorado(9/20/2019)
RR
Connecticut(9/20/2019)
RR
District of Columbia(9/20/2019)
RR
Florida(9/21/2019)
RR
Kansas(1/26/2021)
RR
Massachusetts(9/20/2019)
RR
Michigan(9/20/2019)
RR
New Jersey(9/20/2019)
RR
New York(9/20/2019)
IAR
New York(6/29/2023)
RR
North Carolina(9/20/2019)
RR
Oregon(5/11/2021)
RR
Pennsylvania(9/20/2019)
RR
South Carolina(9/20/2019)
RR
Tennessee(7/20/2021)
RR
Virginia(9/20/2019)
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#: 105644Rochester, NY 14607TRUST BUT VERIFY
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