John Michael Shall

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

• 06/2000 → 10/2019
  1St Global Capital Corp
  Staten Island, NY
• 01/2001 → Present
  Desantis Kiefer Shall & Sarcone, Llp
  Staten Island, NY
• 11/2002 → Present
  Dks Advisory Group, Llc
  Staten Island, NY
• 06/2005 → 09/2025
  Avantax Insurance Services, Inc.
  Staten Island, NY
• 06/2007 → 10/2019
  1St Global Advisors, Inc.
  Staten Island, NY
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Staten Island, NY
• 10/2019 → 09/2025
  Avantax Advisory Services
  Staten Island, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Staten Island, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2021-09-07 → 2025-09-05
  Avantax Advisory Services
  Staten Island, NY

Other Businesses

1) NYS SUPREME COURT-CONSULTANT TO THE COURT POSITION: Consultant NATURE: Consultant regarding financial investments INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/20/2015 DESCRIPTION: Provide an opinion on the appropriateness of investments 2) STATEN ISLAND POLITICAL ALLIANCE POSITION: TREASURER NATURE: POLITICAL ACTION COMMITTEE INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2011 ADDRESS: Staten Island NY , United States DESCRIPTION: Treasurer. 3) NORTH SHORE LONG ISLAND JEWISH HEALTH CARE SYSTEM POSITION: EXECUTIVE COMMITTEE BOARD OF TRUSTEES NATURE: HEALTH CARE INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1997 ADDRESS: Staten Island NY , United States DESCRIPTION: Board of Trustees, Executive committee member. 4) DKS ADVISORY GROUP, LLC POSITION: MEMBER NATURE: REAL ESTATE RENTAL INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/26/1998 ADDRESS: Staten Island NY , United States DESCRIPTION: Member; rental real estate. 5) SI UNIVERSITY HOSPITAL POSITION: CHAIRMAN OF THE BOARD OF TRUSTEES NATURE: HOSPITAL INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1986 ADDRESS: Staten Island NY , United States DESCRIPTION: Board of Trustees 6) G. I. TRUST AS SPECIAL LIMITED GUARDIAN AND TRUSTEE POSITION: Special limited guardian and trustee NATURE: This is a trust for an individual deemed by the court to need assistance with the management of her finances. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 1 START DATE: 02/09/2016 ADDRESS: Staten Island NY 10304, United States DESCRIPTION: Duties as set forth in terms of trust. 7) HEADQUARTERS ADVISORY GROUP LLC POSITION: FINANCIAL ADVISOR NATURE: HEADQUARTERS PROVIDES BACK OFFICE SERVICES FOR MY WEALTH MANAGEMENT BUSINESS. HEADQUARTERS IS OWNED BY BLUCORA INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2021 ADDRESS: 1675 Richmond Road, Staten Island NY 103042317, United States DESCRIPTION: THEY PROVIDE BACK OFFICE SERVICE TO ME 8) ST LUKES AVENUE LLC; DIRECTOR: St. Lukes Avenue LLC currently holds title to a vacant lot. It is adjacent to a catering hall owned by JVS who uses it for parking. There are no plans to develop the property. INVESTMENT RELATED: No; 0; 0; STARTED 01/10/2010; 1675 Richmond Road, Staten Island NY 103042317, US; CURRENTLY NO DUTIES 9)DESANTIS, KIEFER, SHALL & SARCONE, LLP; SENIOR ACCOUNTANT; ACCOUNTANTS OFFICE; NIR; HRS 1; HRS 1; 02/01/1999; Staten Island NY ; SENIOR ACCOUNTANT, TAX & FINANCIAL STATEMENT PREPARATION. 10)Staten Island GOP - Republican Party; NIR; 11) Temporary Guardian; Guardian; Guardian over assets of LS. I am responsible for paying bills; NIR; HRS: 10; Trading HRS: 5; 04/01/2024; 1675 Richmond Road Staten Island New York 10304; Gather and conserve assets. Pay bills and deposit checks. Assets under guardianship are non qualified and qualified brokerage accounts. checking accounts. Also a single family home currently in contract for sale.

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-04-23