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John Soto
29 Years of Experience
Garden City, NY
2 DisclosuresBroker
John Soto is a registered investment advisor at Cetera Investment Advisers LLC, based in Garden City, NY, with 29 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
1325 Franklin Avenue, Suite 255, Garden City, NY, 11530
Get directionsHistory
Regulatory History (2)
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Employment Separation After Allegations
July 2024Criminal
November 1994Final Disposition
Employment History
Current Registrations
Cetera Investment Advisers LLC
October 2024 - Present · 1 yr 9 mos
Cetera Investment Services LLCBroker
September 2024 - Present · 1 yr 10 mos
Previous Registrations
LPL Financial LLC
September 2012 - August 2024 · 11 yrs 11 mos
LPL Financial LLCBroker
September 2012 - August 2024 · 11 yrs 11 mos
Capital One Financial Advisors LLC
August 2009 - September 2012 · 3 yrs 1 mo
Capital One Investment Services LLCBroker
January 2005 - September 2012 · 7 yrs 8 mos
Greenpoint Securities LLCBroker
January 2004 - January 2005 · 1 yr
Essex National Securities, INC.Broker
April 1997 - January 2004 · 6 yrs 9 mos
Royce Investment Group, INC.Broker
November 1995 - February 1996 · 3 mos
State Registrations7 states
AZCTFLNYPASCSD
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.