JF
JF
James Farris
31 Years of Experience
Houston, TX
1 DisclosureBrokerSells Insurance
James Farris is a registered investment advisor at Cetera Investment Advisers LLC, based in Houston, TX, with 31 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
13105 Northwest Frwy, Ste 101, Houston, TX, 77040
Get directionsHistory
Regulatory History (1)
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Customer Dispute
December 2002Denied
Other Business ActivitiesSells Insurance
James is the owner of Farris Financial Group, a DBA for sales of securities and insurance products, and works as an independent insurance agent selling fixed insurance products. Both activities take up a full-time commitment.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 3 mos
Cetera Wealth Services, LLCBroker
June 2021 - Present · 5 yrs 3 mos
Previous Registrations
Cetera Advisor Networks LLC
June 2021 - June 2023 · 2 yrs
Voya Financial Advisors, INC.
July 2019 - June 2021 · 1 yr 11 mos
Voya Financial Advisors, INC.Broker
January 2004 - June 2021 · 17 yrs 5 mos
Locust Street Securities, INC.Broker
April 1995 - January 2004 · 8 yrs 9 mos
Fidelity Equity Services CorporationBroker
June 1994 - April 1995 · 10 mos
State Registrations8 states
CAFLILLAMIMTOHTX
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.