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Detailed Report
JOHN SOTO
CRD#: 2672752
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1325 FRANKLIN AVENUE
SUITE 255
GARDEN CITY, NY 11530
CETERA INVESTMENT SERVICES LLCCRD#: 15340 1325 FRANKLIN AVENUE
SUITE 255
GARDEN CITY, NY 11530
Registration History
19952000200520102015202020252 FIRMS2012 - 2024 (11 years)2 FIRMS2024 - Present (<1 year)BCAPITAL ONE INVESTMENT SERVICE... (CRD# 25658)2005 - 2012 (7 years)BGREENPOINT SECURITIES LLC (CRD# 127042)2004 - 2005 (1 year)BESSEX NATIONAL SECURITIES, INC. (CRD# 25454)1997 - 2004 (6 years)BROYCE INVESTMENT GROUP, INC. (CRD# 10494)1995 - 1996 (<1 year)IACAPITAL ONE FINANCIAL ADVISORS LLC (CRD# 127236)2009 - 2012 (3 years)
Disclosure(s)
View By:
7/24/2024
Employment Separation After Allegations
11/30/1994
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 11/21/2024
B
Pennsylvania 9/20/2024
B
Connecticut 1/2/2025
B
South Carolina 9/25/2024
B
New York 9/19/2024
B
South Dakota 9/23/2024
IA
New York 10/5/2024

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)
1325 FRANKLIN AVENUE SUITE 255, GARDEN CITY, NY 11530
Registered with this firm since 10/5/2024
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
1325 FRANKLIN AVENUE SUITE 255, GARDEN CITY, NY 11530
Registered with this firm since 9/18/2024
Previous Registration(s)
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IA
 09/17/2012 - 08/13/2024 LPL FINANCIAL LLC (CRD#:6413) WOODBURY, NY
B
 09/14/2012 - 08/13/2024 LPL FINANCIAL LLC (CRD#:6413) WOODBURY, NY
IA
 08/27/2009 - 09/18/2012 CAPITAL ONE FINANCIAL ADVISORS LLC (CRD#:127236) MELVILLE, NY
B
 01/03/2005 - 09/18/2012 CAPITAL ONE INVESTMENT SERVICES LLC (CRD#:25658) GLEN COVE, NY
B
 01/02/2004 - 01/03/2005 GREENPOINT SECURITIES LLC (CRD#:127042) LAKE SUCCESS, NY
B
 04/28/1997 - 01/02/2004 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
B
 11/14/1995 - 02/01/1996 ROYCE INVESTMENT GROUP, INC. (CRD#:10494) WOODBURY, 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.