JB
John V. Babu
CETERA INVESTMENT ADVISERS LLC
STAFFORD, TX 77477
Some features on this profile are disabled
CRD#: 6617932
JB
Professional summary
John Vazhuthanappallil Babu, who also goes by John Vazhuthanappallil Babu, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Stafford, Texas and CETERA WEALTH SERVICES, LLC located in Stafford, Texas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. John has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Vazhuthanappallil Babu
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)JJB CPA GROUP PLLC POSITION: Managing Member NATURE: CPA Service including book-keeping and tax preparation, payroll and consulting INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 10/17/2023 ADDRESS: 11104 W AIRPORT BLVD, 213, STAFFORD TX 77477, United States DESCRIPTION: Prepare books of accountsPrepare financial statementsPrepare federal tax returns,Prepare payroll services, Provide business related consulting 2) JJB CPA GROUP PLLC POSITION: MANAGING MEMBER NATURE: Develop and maintain strong relationships with clients, ensuring their accounting, tax, and advisory needs are met effectively.Lead and manage the firm's practice areas, ensuring alignment with overall business objectives and industry trends.?Oversee the quality of services provided, ensuring that audits, tax returns, and other financial statements comply with relevant accounting standards and regulations.?Implement and monitor internal controls and procedures to maintain the firm's compliance with professional and ethical standards.? INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 10/17/2023 ADDRESS: 11104 W AIRPORT BLVD, 213, STAFFORD TX 77477, United States DESCRIPTION: Develop and maintain relationships with clients by understanding their financial goals, risk tolerance, and investment preferences.?Create comprehensive financial plans that address clients' long-term goals, including retirement planning, estate planning, and tax strategies.Provide tailored investment advice and recommend financial products and strategies that align with clients' objectives.?Manage investment portfolios by selecting and monitoring assets such as stocks, bonds, mutual funds, and alternative investments.?Ensure compliance with regulatory requirements and industry standards, including maintaining accurate documentation and reporting.? 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 06/2022, APX NUMBER OF HOURS PER WEEK: 2, NOT DURING TRADING HOURS, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view John Vazhuthanappallil Babu'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 810 Murphy Rd Ste G, Stafford, TX 77477RIA
CRD#: 105644
STAFFORD, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 810 Murphy Rd Ste G, Stafford, TX 77477BD
CRD#: 13572
Stafford, TX
Past
August 22, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Stafford, TX
Past
August 22, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Stafford, TX
Past
May 3, 2022 - June 12, 2024
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Sugar Land, TX
Past
February 16, 2022 - June 12, 2024
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Sugar Land, TX
Past
May 2, 2017 - April 20, 2022
WISEVIEW FINANCIAL SERVICES
RIA
CRD#: 282880
SUGAR LAND, TX
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
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/15/2022
General Securities Representative ExaminationGeneral 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.
