Jonathan D. Ginsburgh

CETERA INVESTMENT ADVISERS LLC

HOUSTON, TX 77008

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CRD#: 6509370

Professional summary

Jonathan David Ginsburgh, who also goes by Jonathan D Ginsburgh, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA INVESTMENT SERVICES LLC located in Houston, Texas.

Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Jonathan has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan D Ginsburgh

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan David Ginsburgh'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

November 19, 2018 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 301 West 11th Street, Houston, TX 77008

RIA

CRD#: 105644

HOUSTON, TX

Current

November 19, 2018 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 301 West 11th Street, Houston, TX 77008Office #2: 3000 North University Dr, Nacogdoches, TX 75965Office #3: 3102 E. Broadway, Pearland, TX 77581

CRD#: 15340

Houston, TX

Past

October 10, 2017 - October 29, 2018

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

LAKE CHARLES, LA

Past

July 1, 2016 - October 29, 2018

OSAIC INSTITUTIONS, INC.

CRD#: 35371

LAKE CHARLES, LA

Past

September 29, 2015 - July 1, 2016

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

LAKE CHARLES, LA

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

Alabama
(8/19/2025)

Arkansas
(7/26/2022)

Florida
(2/24/2023)

Georgia
(12/16/2022)

Louisiana
(11/19/2018)

Nevada
(10/21/2022)

North Carolina
(9/16/2021)

Tennessee
(2/11/2025)

Texas
(11/19/2018)

IAR

Texas
(11/19/2018)

Virginia
(1/29/2025)

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: 10/9/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/2/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/29/2015

Investment Company Products/Variable Contracts Representative 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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Firm Stability Insights

Jonathan D. Ginsburgh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan David Ginsburgh's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

ESSEX NATIONAL SECURITIES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2017

SIE

Date: 10/1/2018

Series 7

Date: 5/2/2017

Series 6

Date: 9/29/2015

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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