John Wolschleger
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 Wolschleger, who also goes by John Scott Wolschleger, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2011. John had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - September 28, 2023
CETERA INVESTMENT ADVISERS LLC
June 21, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 16, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
June 16, 2021 - September 28, 2023
CETERA INVESTMENT SERVICES LLC
June 16, 2021 - September 28, 2023
CETERA FINANCIAL SPECIALISTS LLC
June 16, 2021 - September 28, 2023
CETERA ADVISORS LLC
June 16, 2021 - September 28, 2023
CETERA WEALTH SERVICES, LLC
February 6, 2020 - October 9, 2020
RAYMOND JAMES & ASSOCIATES, INC.
January 28, 2020 - October 9, 2020
RAYMOND JAMES & ASSOCIATES, INC.
October 27, 2017 - October 9, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 3, 2017 - October 9, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 23, 2015 - July 18, 2017
WOODBURY FINANCIAL SERVICES, INC.
April 23, 2015 - July 18, 2017
OSAIC WEALTH, INC.
April 23, 2015 - July 18, 2017
FSC SECURITIES CORPORATION
October 6, 2014 - July 18, 2017
OSAIC SERVICES, INC.
August 30, 2011 - September 26, 2014
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
