John Anthony Gutfranski

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2015 → 06/2021
  Voya Financial Advisors
  Houston, TX
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2015-01-06 → 2021-06-09
  Voya Financial Advisors, Inc.
  Houston, TX
  Houston, TX
  Windsor, CT
• 2009-05-06 → 2015-01-09
  Cetera Wealth Services, Llc
  Boerne, TX
• 2008-11-13 → 2009-03-25
  Stanford Group Company
  Houston, TX
• 2003-11-19 → 2008-11-17
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
  Houston, TX
  Houston, TX

Other Businesses

1) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; YES; 800 BERING #227; HOUSTON; TX; 77057; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/2/2015; 10; 10; SALES OF FIXED INSURANCE PRODUCTS.| 2) NAME OF ENTITY: HARRIS COUNTY MUNICIPAL UTILITY DISTRICT NO. 461; NO; 9 GREENWAY PLAZA, SUITE 1000; HOUSTON; TX; 77046; LOCAL UTILITY DISTRICT RELATED TO WASTE WATER, SEWAGE AND WATER SUPPLY; DIRECTOR; 5/13/2020; 1; 1; WORK WITH UTILITY COUNSEL TO OPERATE UNDER THE TEXAS STATE LAW AND OTHER PROFESSIONALS, SUCH AS ENGINEERS, PLANT OPERATOR, BOOK KEEPER, TO OVERSEE EFFICIENT OPERATION OF THE DISTRICT TO MEET RELATIVE WATER MANAGEMENT DEMANDS.| 3) NAME OF OTHER BUSINESS: GUTFRANSKI ADVISORY, LLC ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR MARKETING AND EXPENSES; START DATE: 01/2016; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA TO FACILITATE WEBSITE CREATION AND FOR EXPENSES ASSOCIATED WITH THE PRACTICE;

Exams

• S66 Uniform Combined State Law Examination
  2003-08-22
• S63 Uniform Securities Agent State Law Examination
  1997-01-15

Designations

• Certified Financial Planner