Best Investors Account Sign in

John Soto

Cetera Investment Advisers LLC

Garden City, NY

Claim This Profile
Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-10-05
  • NY RA
    APPROVED
    Since 2024-10-05

Branch Locations

1325 Franklin Avenue Suite 255, Garden City, NY 11530 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Garden City NY 09/2012 08/2024
Cetera Investment Services Llc Saint Cloud MN 09/2024 Present
Cetera Investment Advisers Llc Nesconset NY 09/2024 Present
Previous Registrations
  • 2012-09-17 → 2024-08-13
    Lpl Financial Llc
    Garden City, NY
    Fort Mill, SC
    Franklin Square, NY
    Garden City, NY
    Elmhurst, NY
    Smithtown, NY
    Melville, NY
    Jericho, NY
    East Meadow, NY
    New York, NY
    New York, NY
    Hauppauge, NY
    Center Moriches, NY
    New York, NY
    Woodbury, NY
    Hewlett, NY
    Woodbury, NY
    Hauppauge, NY
    New York, NY
    Woodbury, NY
    Ronkonkoma, NY
    Merrick, NY
    Smithtown, NY
  • 2009-08-27 → 2012-09-18
    Capital One Financial Advisors Llc
    Melville, NY
Other Businesses

1.) SENIOR HOME CARE SOLUTIONS LLC, SENIOR CARE COORDINATION AND ADVISORY SERVICES, 100% OWNER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-08-17
S63 Uniform Securities Agent State Law Examination 1995-11-16
  • S66 Uniform Combined State Law Examination
    2009-08-17
  • S63 Uniform Securities Agent State Law Examination
    1995-11-16

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
ARKADIOS WEALTH ADVISORS
BRIXTON CAPITAL WEALTH ADVISORS, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
OSAIC WEALTH, INC.
COMMONWEALTH FINANCIAL NETWORK
LESLIE MARIE GIORDANO
ARIES INVESTMENT ADVISORS, LLC

Other Investors

TIMOTHY J TASSO
DAWN MARIE EGGERS
DAVID BRIAN CARPENTIER
Alexander Oliner
JULIA BATTAGLIA
Sei il im
ELLEN M CHAN
Jesse M Silver

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
ARKADIOS WEALTH ADVISORS · Garden City, NY
CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY
COMMONWEALTH FINANCIAL NETWORK · Garden City, NY

More in Garden City, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor