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Detailed Report
JOHN LAMAR NIELSEN
CRD#: 1279737
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 200 N WESTLAKE BLVD STE 111
WESTLAKE VILLAGE, CA 91362
CETERA ADVISOR NETWORKS LLCCRD#: 13572 200 N WESTLAKE BLVD STE 111
WESTLAKE VILLAGE, CA 91362
Registration History
198519901995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2008 - Present (17 years)BASSOCIATED SECURITIES CORP. (CRD# 12969)1988 - 2008 (19 years)BBOARDWALK CAPITAL CORPORATION (CRD# 10279)1984 - 1988 (4 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2008 - 2023 (15 years)IAASSOCIATED PLANNERS INVESTMENT... (CRD# 104790)1997 - 2008 (10 years)
License(s)

State Registrations

B
Alabama 8/27/2018
B
Nevada 3/3/2008
B
Arizona 3/3/2008
B
New Mexico 12/26/2023
B
California 3/4/2008
B
North Carolina 10/20/2022
IA
California 6/29/2023
B
Pennsylvania 3/3/2008
B
Colorado 6/22/2021
B
South Carolina 7/23/2020
B
Connecticut 3/3/2008
B
Texas 1/10/2020
B
Florida 3/3/2008
IA
Texas 6/29/2023
B
Georgia 7/18/2023
B
Utah 7/22/2020
B
Idaho 5/22/2017
IA
Utah 7/31/2023
B
Massachusetts 3/3/2008
B
Washington 3/3/2008

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
200 N WESTLAKE BLVD STE 111, WESTLAKE VILLAGE, CA 91362
BLUFFDALE, UT
Registered with this firm since 6/29/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
200 N WESTLAKE BLVD STE 111, WESTLAKE VILLAGE, CA 91362
BLUFFDALE, UT
Registered with this firm since 3/3/2008
Previous Registration(s)
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IA
 03/04/2008 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
IA
 07/08/1997 - 02/29/2008 ASSOCIATED PLANNERS INVESTMENT ADVISORY INC (CRD#:104790) WESTLAKE VILLAGE, CA
B
 11/18/1988 - 02/29/2008 ASSOCIATED SECURITIES CORP. (CRD#:12969) WESTLAKE VILLAGE, CA
B
 07/26/1984 - 12/05/1988 BOARDWALK CAPITAL CORPORATION (CRD#:10279)
FINRA expelled the firm on 09/24/1991
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.