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Stuart Leroy Johnson

Cetera Investment Advisers LLC

Monrovia, CA

Phoenix, AZ

CRD 4538724

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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2021-03-18
CA RA APPROVED 2019-06-19
TX RA APPROVED 2019-06-19
  • AZ RA
    APPROVED
    Since 2021-03-18
  • CA RA
    APPROVED
    Since 2019-06-19
  • TX RA
    APPROVED
    Since 2019-06-19

Branch Locations

605 E. Huntington Drive Suite 203, Monrovia, CA 91016 • United States

1702 E. Highland Ave Suite 204, Phoenix, AZ 85016 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Foresters Financial Service - E85 Los Angeles - Cp Monrovia CA 05/2002 06/2019
Foresters Financial Service - E85 Los Angeles - Cp Monrovia CA 08/2012 06/2019
Rental Property Duarte CA 01/2014 Present
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Investment Advisers Llc Monrovia CA 06/2019 Present
  • 05/2002 → 06/2019
    Foresters Financial Service - E85 Los Angeles - Cp
    Monrovia, CA
  • 08/2012 → 06/2019
    Foresters Financial Service - E85 Los Angeles - Cp
    Monrovia, CA
  • 01/2014 → Present
    Rental Property
    Duarte, CA
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2019 → Present
    Monrovia, CA
Previous Registrations
  • 2012-09-04 → 2019-06-25
    Foresters Advisory Services, Llc
    Monrovia, CA
Other Businesses

1) TREASURER AND SECRETARY ON BOARD OF DIRECTORS FOR HOA (CIRCLE G AT RIGGS HOMESTEAD RANCH HOMEOWNERS ASSOCIATION), ATTEND MEETINGS, VOTE ON ISSUES IMPACTING HOMEOWNERS, HELP MANAGE THE HOA BUDGET, 2/HRS/WK

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-08-18
S63 Uniform Securities Agent State Law Examination 2002-05-28
  • S65 Uniform Investment Adviser Law Examination
    2012-08-18
  • S63 Uniform Securities Agent State Law Examination
    2002-05-28

View on SEC IAPD

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