JH
JH
John Holland
31 Years of Experience
Charleston, WV
4 DisclosuresBroker
John Holland is a registered investment advisor at Cetera Investment Advisers LLC, based in Charleston, WV, with 31 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
Charleston, WV
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Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2019Settled
Employment Separation After Allegations
August 2014Customer Dispute
March 2012Settled
Customer Dispute
December 2008Settled
Other Business Activities
John is a limited partner in West Point Thoroughbreds, owning thoroughbred racehorses, dedicating a few hours per week. He also spends about two-thirds of his time at South Shore Investment Advisors.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 2 yrs 11 mos
Cetera Wealth Services, LLCBroker
September 2019 - Present · 6 yrs 8 mos
Previous Registrations
Cetera Advisor Networks LLC
March 2021 - June 2023 · 2 yrs 3 mos
Summit Financial Group INC
September 2014 - May 2021 · 6 yrs 8 mos
Summit Brokerage Services, INC.Broker
September 2014 - September 2019 · 5 yrs
Bfc Planning, INC.
November 2011 - August 2014 · 2 yrs 9 mos
Securities Management and Research, INC. ("sm&r")
July 2006 - April 2012 · 5 yrs 9 mos
Securities Management & Research, INC.Broker
December 1994 - August 2014 · 19 yrs 8 mos
State Registrations19 states
CACOFLGAIDILKYMDMINCNYOHOKPASCTXVAWIWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.