JA
John R. Austin
CETERA INVESTMENT ADVISERS LLC
BROOKEVILLE, MD
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CRD#: 844826
JA
Professional summary
John Robert Austin, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brookeville, Maryland and CETERA WEALTH SERVICES, LLC located in Brookeville, Maryland.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. John has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7 and Series 24 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.
1. OFFER FIXED INSURANCE PRODUCTS: LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE. 2.DBA AUSTIN WEALTH MANAGEMENT, LLC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, STARTED 4/2015, FINANCIAL SERVICES, PARTNER, APX 45 HOURS PER WEEK, 32.50 DURING TRADING HOURS, FEE BASED PLANNING AND PORTFOLIO MANAGEMENT. 3. NAME OF OTHER BUSINESS: NDA WEALTH FOUNDATIONS, LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/2021, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: ST LOUIS CATHOLIC CHURCH PARISH COUNCIL, INVESTMENT RELATED: NO, ADDRESS: 12500 CLARKSVILLE PIKE, CLARKSVILLE, MD 21029, NATURE OF BUSINESS: CHURCH, START DATE: 10/2024 , POSITION/TITLE/RELATIONSHIP: PARISH COUNCIL MEMBER, APX NUMBER OF HOURS PER WEEK:1 , APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: NON-FIDUCIARY, ADVISORY ROLE TO THE PASTOR;
CRS (Client Relationship Summary) - RIA
Click below to view John Robert Austin'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®
CFP®
Start date: 1987
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BROOKEVILLE, MD
Current
October 8, 1998 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
BROOKEVILLE, MD
Past
June 30, 2004 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LAKE RIDGE, VA
Past
September 25, 1997 - July 20, 1998
MFS FUND DISTRIBUTORS, INC.
BD
CRD#: 31052
BOSTON, MA
Past
August 19, 1997 - August 26, 1997
CRESTAR SECURITIES CORPORATION
BD
CRD#: 17464
RICHMOND, VA
Past
February 21, 1991 - June 27, 1997
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
March 6, 1990 - February 15, 1991
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
November 19, 1989 - March 22, 1990
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
December 24, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
January 26, 1982 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
BD
CRD#: 7420
Past
February 24, 1978 - January 31, 1982
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
October 26, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
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(12/26/2017)
RR
California(1/3/2005)
RR
Colorado(2/6/2025)
RR
Delaware(9/19/2018)
RR
District of Columbia(10/13/1998)
RR
Florida(4/21/2006)
RR
Maryland(10/8/1998)
IAR
Maryland(6/29/2023)
RR
Massachusetts(9/24/2021)
RR
New Jersey(2/4/2021)
RR
New York(12/13/2004)
RR
North Carolina(8/23/2024)
RR
Oklahoma(11/7/2019)
RR
Oregon(10/5/2022)
RR
Texas(1/20/2012)
IAR
Texas(6/29/2023)
RR
Utah(12/14/2021)
RR
Virginia(10/9/1998)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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
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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.
