Jonathan C. Wang

CETERA INVESTMENT ADVISERS LLC

BALTIMORE, MD 21202

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CRD#: 5915845

Professional summary

Jonathan Christopher Wang, who also goes by Jonathan C Wang N/a, Jonathan Wang, Jonathan C Wang, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Baltimore, Maryland and CETERA INVESTMENT SERVICES LLC located in Baltimore, Maryland.

Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Jonathan has worked at 7 firms and has passed the Series 66, Series 31, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan C Wang N/a | Jonathan Wang | Jonathan C Wang

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.

I*1922301 Entity Charitable Name of OBA: The Adaptive Athletics Foundation of Maryland Address: Annapolis, Maryland, 21401 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 07/22/2024 No Hours: 12 No Hours during trading: 0 Duties: AAMFD's mission is to bridge the gap on financial, education and adaptive gear for the disabled community of Maryland.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Christopher Wang'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

May 27, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 300 East Lombard Street, Baltimore, MD 21202

RIA

CRD#: 105644

BALTIMORE, MD

Current

May 27, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 300 East Lombard Street Suite 700, Baltimore, MD 21202

CRD#: 15340

BALTIMORE, MD

Past

November 14, 2022 - January 8, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WASHINGTON, DC

Past

November 7, 2022 - January 8, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WASHINGTON, DC

Past

March 10, 2022 - October 20, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BETHESDA, MD

Past

March 10, 2022 - October 20, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BETHESDA, MD

Past

July 24, 2019 - December 20, 2021

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

POTOMAC, MD

Past

July 24, 2019 - December 20, 2021

HSBC SECURITIES (USA) INC.

CRD#: 19585

POTOMAC, MD

Past

August 31, 2016 - July 10, 2019

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

GAITHERSBURG, MD

Past

July 18, 2013 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

GAITHERSBURG, MD

Past

July 18, 2013 - July 10, 2019

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

GAITHERSBURG, MD

Past

December 1, 2011 - June 11, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

POTOMAC, MD

Past

December 1, 2011 - June 11, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

POTOMAC, MD

Past

July 1, 2011 - October 13, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ROCKVILLE, MD

Past

June 10, 2011 - October 13, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ROCKVILLE, MD

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

Maryland
(5/27/2025)

IAR

Maryland
(5/27/2025)

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: 6/30/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 10/5/2024

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/9/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/2/2022

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/18/2022

General Securities Sales Supervisor - Options Module 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

Jonathan C. Wang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Christopher Wang's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2011

Series 31

Date: 10/5/2024

SIE

Date: 10/1/2018

Series 7

Date: 6/9/2011

Series 10

Date: 6/2/2022

Series 9

Date: 3/18/2022

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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