JG
CFP · ChFC
JG
CFP · ChFC
James Garland
43 Years of Experience
Westbrook, ME
1 DisclosureBrokerSells Insurance
James Garland is a CFP, ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in Westbrook, ME, with 43 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.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
Westbrook, ME
Get directionsHistory
Regulatory History (1)
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
December 2015Denied
Other Business ActivitiesSells Insurance
James works as an independent insurance agent selling fixed insurance products since 2008. This takes minimal time.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
June 2021 - Present · 5 yrs 4 mos
Previous Registrations
Cetera Advisor Networks LLC
June 2021 - June 2023 · 2 yrs
Voya Financial Advisors, INC.
August 2007 - June 2021 · 13 yrs 10 mos
Voya Financial Advisors, INC.Broker
July 2007 - June 2021 · 13 yrs 11 mos
Securian Financial Services, INC.
March 2006 - July 2007 · 1 yr 4 mos
Securian Financial Services, INC.Broker
March 2006 - July 2007 · 1 yr 4 mos
Prudential Financial Planning Services
October 2002 - February 2006 · 3 yrs 4 mos
Pruco Securities, LLC.Broker
February 1983 - February 2006 · 23 yrs
State Registrations7 states
CTFLMEMINHOKVA
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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