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Detailed Report
JOHN SIGMUND SIMONSON
CRD#: 2117026
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 3573 E. Sunrise Drive
Suite 133
Tucson, AZ 85718
CETERA ADVISOR NETWORKS LLCCRD#: 13572 3573 E. Sunrise Drive
Suite 133
Tucson, AZ 85718
Registration History
19952000200520102015202020252 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2016 (7 years)2 FIRMS2016 - 2022 (5 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2022 - Present (3 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2007 (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1991 - 2001 (10 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2022 - 2023 (1 year)
Disclosure(s)
View By:
7/22/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 4/20/2022
B
Nevada 4/20/2022
B
Arizona 4/20/2022
B
New Jersey 4/20/2022
IA
Arizona 6/29/2023
B
New Mexico 4/20/2022
B
California 4/20/2022
B
New York 4/20/2022
B
Colorado 4/20/2022
B
North Carolina 8/22/2023
B
District of Columbia 11/2/2022
B
Oregon 4/20/2022
B
Florida 4/21/2022
B
Pennsylvania 2/28/2024
B
Georgia 1/3/2025
B
South Dakota 4/20/2022
B
Hawaii 4/20/2022
B
Tennessee 4/20/2022
B
Idaho 11/2/2022
B
Texas 4/20/2022
B
Illinois 4/20/2022
IA
Texas 6/29/2023
B
Iowa 4/20/2022
B
Vermont 4/20/2022
B
Kansas 4/20/2022
B
Virginia 4/20/2022
B
Maine 4/20/2022
B
Washington 4/20/2022
B
Minnesota 4/20/2022

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)
3573 E. Sunrise Drive Suite 133, Tucson, AZ 85718
Registered with this firm since 6/29/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
3573 E. Sunrise Drive Suite 133, Tucson, AZ 85718
Registered with this firm since 4/20/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/20/2022 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
IA
 10/06/2016 - 04/20/2022 FIRST FINANCIAL EQUITY CORPORATION (CRD#:16507) Tucson, AZ
B
 09/28/2016 - 04/20/2022 FIRST FINANCIAL EQUITY CORPORATION (CRD#:16507) Tucson, AZ
IA
 06/01/2009 - 10/04/2016 MORGAN STANLEY (CRD#:149777) TUCSON, AZ
B
 06/01/2009 - 10/04/2016 MORGAN STANLEY (CRD#:149777) TUCSON, AZ
IA
 10/23/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TUCSON, AZ
B
 07/13/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TUCSON, AZ
B
 02/20/2001 - 07/30/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TUCSON, AZ
B
 01/11/1991 - 02/22/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.