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James Steele is a registered investment advisor at Cetera Investment Advisers LLC, based in Sandwich, MA, with 37 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
Sandwich, MA
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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.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Advisers LLC
April 2024 - Present · 2 yrs 3 mos
Cetera Advisors LLCBroker
October 2016 - Present · 9 yrs 9 mos
Previous Registrations
Cetera Advisors LLC
October 2016 - March 2024 · 7 yrs 5 mos
Investors Capital Advisory
June 2005 - October 2016 · 11 yrs 4 mos
Eastern Point Advisors INC.
January 2004 - June 2005 · 1 yr 5 mos
Investors Capital CORP.Broker
April 2002 - October 2016 · 14 yrs 6 mos
Morgan Stanley Dw INC.Broker
October 1999 - April 2002 · 2 yrs 6 mos
Metlife Securities INC.Broker
January 1989 - August 1999 · 10 yrs 7 mos
Metropolitan Life Insurance CompanyBroker
January 1989 - August 1999 · 10 yrs 7 mos
State Registrations3 states
MAMDNH
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.