JT
John T. Thurston
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CRD#: 6300731
JT
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 Timothy Thurston was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2014. John had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
NAME OF ENTITY:Promise Advisory Group; Yes; 633 LIBRARY PARK DR STE I; GREENWOOD; IN; 46142; Financial Services/DBA; Financial Advisor; 10/1/2014; 160; 160; Sale of fixed insurance, securities, and investment products.|NAME OF ENTITY:Thurston Consulting; No; 902 N. SHORE BLVD; FRANKLIN; IN; 46131; Operations Consulting and Marketing Research consultation; Principal; 2/1/2013; 80; 20; Personal and Personnel Coaching, Personnel Development, Policy Audits, Consulting on project design.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 175 N MAIN ST UNIT 1; FRANKLIN; IN; 46131; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/13/2014; 20; 20; SALE OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:Indiana High School Athletics Association; No; 9150 N MERIDAN ST; INDIANAPOLIS; IN; 46260; Youth Athletics Game Official; Referee; 8/14/2015; 15; 0; Officiate football games.|NAME OF ENTITY:THURSTON FAMILY FOUNDATION; No; 8505 WOODFIELD CROSSING BLDG 125; INDIANAPOLIS; IN; 46240; CHARITABLE ORGANIZATION; DIRECTOR; 11/5/1998; 5; 2; ATTEND MEETINGS, VOTE AND ADVISING ON GRANTS.|NAME OF ENTITY:Franklin Rotary; No; 243 S Forsythe Street; Franklin; IN; 46131; Non-profit; Board Member - Secretary; 8/1/2019; 10; 5; Keep membership records; record attendance at meetings; send out notices of the Club, Board and committee meetings; record and preserve the minutes of such meetings; report as required to Rotary Int'l, report changes in membership; provide the monthly attendance report.|NAME OF ENTITY:Leadership Johnson County; No; 101 Branigin Boulevard; Franklin; IN; 46131; Non-Profit; Board Member; 8/1/2019; 8; 2; Serve as a voting member; setting strategic direction; establishing policies; assist with recruitment efforts for select programs.|NAME OF ENTITY:Servants At Work Ramps (SAWs Ramps); No; 8427 Zionsville Rd.; Indianapolis; IN; 46268; SAWs Hub Operations coordinates ramp construction for SAWs Hub locations; Regional Operations Hub Manager; 1/4/2021; 200; 100; Maintains and certifies that all SAWs ramps are built to the standards set forth in the Best Practice & Safety training program. Responsible for creating the SAWs state-wide ramp schedule which includes forecasting and planning all SAWs Hub builds based on the client pipeline. Monitors client software and identifies potential scheduled projects based on finished surveys, ramp drawings, prefabrication and raw materials. Retains and cultivates a good working relationship with all suppliers including lumber yards and additional suppliers that support all the SAWs Hub locations.|
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®
NoneExperience
Past
June 9, 2021 - October 17, 2022
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
FRANKLIN, IN
Past
June 9, 2021 - October 17, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
FRANKLIN, IN
Past
September 9, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
GREENWOOD, IN
Past
June 19, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
GREENWOOD, IN
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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
