JL
JL
James Lindsay
44 Years of Experience
San Marcos, CA
4 DisclosuresBroker
James Lindsay is a registered investment advisor at Cetera Investment Advisers LLC, based in San Marcos, CA, with 44 years of industry experience. James 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
436 Buena Creek Rd, San Marcos, CA, 92069
Get directionsHistory
Regulatory History (4)
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Judgment / Lien
January 2020Judgment / Lien
November 2019Customer Dispute
June 2016Withdrawn
Employment Separation After Allegations
August 2012Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 1 mo
Cetera Wealth Services, LLCBroker
September 2019 - Present · 6 yrs 10 mos
Previous Registrations
Cetera Advisor Networks LLC
March 2021 - June 2023 · 2 yrs 3 mos
Summit Financial Group INC
October 2012 - May 2021 · 8 yrs 7 mos
Summit Brokerage Services, INC.Broker
September 2012 - September 2019 · 7 yrs
LPL Financial LLCBroker
September 2004 - August 2012 · 7 yrs 11 mos
LPL Financial LLC
September 2004 - August 2012 · 7 yrs 11 mos
Wachovia Securities, LLC
May 2003 - October 2004 · 1 yr 5 mos
Wachovia Securities, LLCBroker
July 1998 - October 2004 · 6 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1993 - August 1998 · 4 yrs 9 mos
Smith Barney Shearson INC.Broker
July 1993 - December 1993 · 5 mos
Lehman Brothers INC.Broker
July 1991 - July 1993 · 2 yrs
Dean Witter Reynolds INC.Broker
November 1987 - July 1991 · 3 yrs 8 mos
E. F. Hutton & Company INCBroker
November 1981 - December 1987 · 6 yrs 1 mo
Titan Capital CorporationBroker
July 1981 - November 1981 · 4 mos
State Registrations7 states
CACOFLNCSDTXWA
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.