James Middlesworth
James Middlesworth is a registered investment advisor at Cetera Investment Advisers LLC, based in Honolulu, HI, with 35 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
Firm Size
IM Fee
Assets Under Management
Location
745 Fort Street, 1614, Honolulu, HI, 96813
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Regulatory History
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 →Other Business ActivitiesSells Insurance
James operates under the DBA Hawaii Financial Advisors, Inc., dedicating about half of his time to this investment-related activity. He is also a notary public for the state of Hawaii and an insurance agent referring property and casualty business, spending minimal time on each of these roles.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Vsr Advisory Services
Vsr Financial Services, INC.Broker
Summit Financial Group INC
Summit Brokerage Services, INC.Broker
Vsr Advisory Services
Vsr Financial Services, INC.Broker
AXA Advisors, LLCBroker
AXA Advisors, LLC
Aig Financial Advisors, INC.Broker
Aig Financial Advisors, INC.
Sunamerica Securities, INC.
Sunamerica Securities, INC.Broker
Ifg Network Securities, INC.Broker
Planned Investments INC.Broker
First American National Securities, INC.Broker
State Registrations10 states
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