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ChFC
JJ
ChFC

James Judd

Cetera Investment Advisers LLC
44 Years of Experience
Cleveland, OH
BrokerSells Insurance
View SEC Summary
View SEC Summary

James Judd is a ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in Cleveland, OH, with 44 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10458 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

6200 Rockside Rd, Cleveland, OH, 44131

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

James sells fixed insurance products, including life, health, disability, annuities, long-term care, and property & casualty insurance, dedicating a few hours per week. He also works as a financial advisor at Vantage Financial Group, Inc., dedicating nearly full-time hours to this role.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Vantage Financial Group, INC.
July 2021 - Present · 5 yrs 3 mos
Cetera Wealth Services, LLC
November 2020 - Present · 5 yrs 11 mos
Cetera Wealth Services, LLCBroker
November 2020 - Present · 5 yrs 11 mos
Previous Registrations
Cetera Advisor Networks LLC
November 2020 - June 2023 · 2 yrs 7 mos
Lion Street Financial, LLCBroker
July 2018 - October 2020 · 2 yrs 3 mos
Lion Street Advisors, LLC
July 2018 - October 2020 · 2 yrs 3 mos
Cetera Advisor Networks LLC
November 2017 - July 2018 · 8 mos
Cetera Advisor Networks LLCBroker
November 2017 - July 2018 · 8 mos
Girard Securities, INC.
February 2006 - November 2017 · 11 yrs 9 mos
Girard Securities, INC.Broker
January 2006 - November 2017 · 11 yrs 10 mos
Oswald Financial, INC.
March 2003 - December 2009 · 6 yrs 9 mos
Linsco/private Ledger CORP.
October 1999 - February 2006 · 6 yrs 4 mos
Linsco/private Ledger CORP.Broker
February 1999 - February 2006 · 7 yrs
W. S. Griffith & CO., INC.Broker
August 1982 - February 1999 · 16 yrs 6 mos
Home Life Insurance CompanyBroker
August 1982 - October 1992 · 10 yrs 2 mos
State Registrations10 states
CACOFLKYNYOHPASCTXWV
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.
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