John Leo Chiappetta

Current Employers

Employment History

• 02/2016 → 02/2022
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 02/2016 → 02/2022
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 02/2022 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 02/2022 → Present
  Kaizen Financial Partners
  Kenosha, WI
• 10/2017 → 08/2025
  Scl Cpa Pl
  Kenosha, WI
• 10/2019 → 08/2025
  Scl Ii Cpa Pl
  Kenosha, WI
• 02/2016 → 02/2022
  Rpc Of Wi Inc
  Kenosha, WI
• 01/2017 → Present
  Root Hg Inc.
  Kenosha, WI
• 01/2022 → Present
  Kaizen Lp
  Kenosha, WI
• 07/2016 → Present
  Gb Road Llc
  Kenosha, WI
• 07/2016 → Present
  Southport Financial Center Llc
  Kenosha, WI
• 01/2022 → Present
  Kaizen Management Inc
  Kenosha, WI
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2016-02-29 → 2022-02-14
  Cambridge Investment Research Advisors, Inc.
  Kenosha, WI
  Kenosha, WI
• 2011-05-02 → 2016-02-29
  Ausdal Financial Partners, Inc.
  Davenport, IA
  Kenosha, WI
• 2011-01-03 → 2011-05-03
  Workman Securities Corporation
  Kenosha, WI
  Eden Prairie, MN
  Grayslake, IL
• 2009-06-09 → 2010-12-31
  Investment Centers Of America, Inc.
  Grayslate, IL
  Bismarck, ND
  Antioch, IL
  Grayslake, IL
• 2005-06-15 → 2009-05-15
  Woodbury Financial Services, Inc.
  Grayslake, IL
  Antioch, IL

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/2003 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES 2. NAME OF OTHER BUSINESS: KAIZEN FINANCIAL PARTNERS, INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2022 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: GB ROAD LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE START DATE: 07/2016 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: NONE APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: I HAVE NO DUTIES WITH THIS ENTITY OTHER THAN JUST BEING A PARTNER. 4. NAME OF OTHER BUSINESS: SOUTHPORT FINANCIAL CENTER LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE START DATE: 07/2016 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PARTNER 5. NAME OF OTHER BUSINESS: ROOT HG INC. INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: RESTAURANT INDUSTRY START DATE: 01/2017 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MANAGE EMPLOYEES OF A RESTAURANT GROUP 6. NAME OF OTHER BUSINESS: KAIZEN LP INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX AND ACCOUNTING START DATE: 01/2022 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: MANAGEMENT OF PERSONNEL, TAX PLANNING 7. NAME OF OTHER BUSINESS: KAIZEN MANAGEMENT INC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX ENTITY START DATE: 01/2022 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: NONE APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: OWNER

Exams

• S66 Uniform Combined State Law Examination
  2003-09-09

Designations