JA
John M. Allen
CETERA INVESTMENT ADVISERS LLC
ROSWELL, GA 30076
Some features on this profile are disabled
CRD#: 801320
JA
Professional summary
John Maxwell Allen JR is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Roswell, Georgia and CETERA WEALTH SERVICES, LLC located in Roswell, Georgia.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. John has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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:Legacy Financial Advisors; Yes; 401 MACY DR; ROSWELL; GA; 30076; DBA; part owner; 4/1/2000; 160; 160; DBA for insurance and securities|NAME OF ENTITY: independent insurance agent; Yes; 401 MACY DR; ROSWELL; GA; 30076; fixed insurance sales; independent insurance agent; 3/17/2000; 160; 160; sales of fixed insurance products|
CRS (Client Relationship Summary) - RIA
Click below to view John Maxwell Allen JR'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
March 20, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 401 Macy Dr, Roswell, GA 30076RIA
CRD#: 105644
ROSWELL, GA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 401 Macy Dr, Roswell, GA 30076BD
CRD#: 13572
Roswell, GA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 10, 2003 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
ROSWELL, GA
Past
March 17, 2000 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
ROSWELL, GA
Past
July 21, 1999 - March 23, 2000
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
July 21, 1999 - March 23, 2000
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
February 2, 1999 - June 25, 1999
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
October 22, 1982 - January 21, 1999
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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
Arizona(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
IAR
Georgia(3/20/2023)
RR
Kentucky(3/14/2025)
RR
Maryland(1/2/2025)
RR
Massachusetts(6/13/2025)
RR
Michigan(1/4/2024)
RR
Missouri(6/9/2021)
RR
Montana(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Ohio(1/7/2025)
RR
Oklahoma(6/9/2021)
RR
Pennsylvania(1/2/2025)
RR
South Carolina(6/9/2021)
RR
South Dakota(7/26/2024)
RR
Tennessee(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(6/9/2021)
RR
Virginia(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/18/1974
Registered Representative ExaminationSRO 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.
