• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JOHN DAVID ASHLEY
CRD#: 3163425
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 701 NORTH POST OAK RD
SUITE 320
HOUSTON, TX 77024
CETERA ADVISORS LLCCRD#: 10299 701 NORTH POST OAK RD
SUITE 320
HOUSTON, TX 77024
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2012 - 2015 (2 years)2 FIRMS2017 - 2023 (6 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2024 - Present (<1 year)BCETERA ADVISORS LLC (CRD# 10299)2023 - Present (1 year)BMSI FINANCIAL SERVICES, INC. (CRD# 14251)1999 - 2017 (18 years)BMETROPOLITAN LIFE INSURANCE CO... (CRD# 4095)1999 - 2007 (8 years)IACETERA ADVISORS LLC (CRD# 10299)2023 - 2024 (<1 year)IAMSI FINANCIAL SERVICES, INC. (CRD# 14251)2004 - 2017 (12 years)
License(s)

State Registrations

B
California 5/31/2023

B
Texas 5/31/2023

B
Colorado 10/2/2024

IA
Texas 3/21/2024

B
Georgia 5/31/2023

B
Virginia 5/31/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
701 NORTH POST OAK RD SUITE 320, HOUSTON, TX 77024
League City, TX
Registered with this firm since 3/21/2024

B
CETERA ADVISORS LLC (CRD#:10299)
701 NORTH POST OAK RD SUITE 320, HOUSTON, TX 77024
League City, TX
Registered with this firm since 5/31/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/31/2023 - 03/21/2024 CETERA ADVISORS LLC (CRD#:10299) HOUSTON, TX
IA
03/25/2017 - 06/01/2023 MML INVESTORS SERVICES, LLC (CRD#:10409) HOUSTON, TX
B
03/25/2017 - 06/01/2023 MML INVESTORS SERVICES, LLC (CRD#:10409) HOUSTON, TX
IA
06/07/2004 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) HOUSTON, TX
B
01/20/1999 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) HOUSTON, TX
IA
08/15/2012 - 01/02/2015 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) HOUSTON, TX
B
08/15/2012 - 01/02/2015 NEW ENGLAND SECURITIES (CRD#:615) HOUSTON, TX
B
01/20/1999 - 07/09/2007 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.