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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2023-06-29
  • PA RA
    APPROVED
    Since 2023-06-29

Branch Locations

881 3Rd St, Whitehall, PA 18052 • United States

Disclosures

1 disclosure category 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Minnesota Mutual Life St Paul MN 09/1994 Present
Giancaterino Bethlehem PA 07/1998 Present
Giancaterino And Associates Whitehall PA 10/2004 Present
Voya Financial Advisors Whitehall PA 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/1994 → Present
    Minnesota Mutual Life
    St Paul, MN
  • 07/1998 → Present
    Giancaterino
    Bethlehem, PA
  • 10/2004 → Present
    Giancaterino And Associates
    Whitehall, PA
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Whitehall, PA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF ENTITY:GIANCATERINO AND ASSOCIATES, LLC; Yes; 881 3RD ST STE A7; WHITEHALL; PA; 18052; LLC / DBA; OWNER; 4/1/2011; 84; 84; DBA / PASS THROUGH ENTITY FOR THE SALE OF SECUTIRIES THROUGH ING FINANCIAL PARTNERS 2. NAME OF ENTITY:Giancaterino and Associates; Yes; 881 3RD ST STE A7; WHITEHALL; PA; 18052; DBA; owner; 10/1/2004; 80; 80; DBA for insurance and securities 3. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 881 3RD ST STE A7; WHITEHALL; PA; 18052; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/2/2008; 32; 32; SALES OF FIXED INSURANCE PRODUCTS 4. NAME OF ENTITY:LIFE SETTLEMENT; No; 881 3RD ST; WHITEHALL; PA; 18052; LIFE SETTLEMENT; INDEPENDENT INSURANCE AGENT; 5/6/2009; 5; 5; SELLING LIFE SETTLEMENTS; 5. NAME OF OTHER BUSINESS: WEALTHWORKS FINANCIAL, LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-02-12
  • S63 Uniform Securities Agent State Law Examination
    1985-02-12
Designations
Other Names
  • John Giancaterino

View on SEC IAPD

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