MML Investors Services
44yrs
Top advisor by experience in West Warwick
27yrs
John Michael Soucy
Financial advisor at Cetera Investment Advisers
At a glance
Experience27 years (since 1999)
How that compares ?Top 21% by experience in Rhode Island
Office207 Quaker Ln Suite 302c & 302d, West Warwick, RI 02893
How the firm is paid ?Percent of assets, Hourly, Flat fee
States licensed ?1 state
Services through Cetera Investment Advisers
Financial planningInvestment management for individuals and small businessesInvestment management for businesses and institutionsRetirement plan consultingChoosing other investment managersEducational seminars and workshops
Specialties, designations like CFP®, and languages spoken appear here when advisors claim their profiles.
Licenses
Exams passed, from the official record. Tap a license to see what it allows.
Uniform Securities Agent State Law Examination
Uniform Investment Adviser Law Examination
Career
- Nov 2025 – nowCetera Investment Advisers LLCCurrent firm
- 2011 – 2025LPL Financial LLCPreviously
- 2007 – 2010LPL Financial LLCPreviously
- 2007 – 2011Uvest Financial Services Group, Inc.Previously
- Nov 2005 – Feb 2007Webster Investment Services, Inc.Previously
- 2003 – 2005Ifmg Securities, Inc.Previously
Questions to ask John
Tailored to John’s registration and firm.
- What's your succession plan, and who would work with me if you retire?
- At a firm this size, will I work with you directly or with a service team?
- What does a financial plan with you include, and how often is it updated?
- If you use outside managers, how are they chosen and what do they cost on top of your fee?
- Where would my money be held, and will I get statements directly from that firm?
- What would I pay in total each year, in dollars, including fund and trading costs?
My notes and scorecard
Sign in to keep private notes, score your first meeting, and track this advisor alongside others.
About John
How do I contact John?
Call Cetera Investment Advisers at 310-257-7880 and ask for John Michael Soucy. John works from the West Warwick, RI office.
How long has John been a financial advisor?
John has been in the industry since 1999, about 27 years. Top 21% by experience in Rhode Island.
What licenses does John hold?
Series 63, Series 65. Tap any license on this page to see what it allows.
Is John a fiduciary?
John is registered as an investment advisor representative, which carries a fiduciary duty when giving investment advice.
How is John paid?
Cetera Investment Advisers reports being paid by a percentage of the assets they manage, hourly fees, flat or fixed fees. Ask John for your total yearly cost in dollars.
Official record as of October 2, 2026.
This profile is for information only and is not financial advice or a recommendation.
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