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James Hearns

Cetera Investment Advisers LLC
57 Years of Experience
Naples, FL
3 DisclosuresBroker
View SEC Summary
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James Hearns is a registered investment advisor at Cetera Investment Advisers LLC, based in Naples, FL, with 57 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
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

Naples, FL

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History

Regulatory History (3)
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.
Regulatory
January 2017
Final
Regulatory
July 1985
Final
Regulatory
August 1981
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is a retired partner at DBA-James E Hearns and Associates LLC, providing accounting and tax services, dedicating about a quarter of his time. He also manages assets from a former fruit orchard business and operates a financial services DBA, spending about 10-20% of his time on the latter.

Employment History
Current Registrations
Cetera Investment Advisers LLC
April 2023 - Present · 3 yrs 6 mos
Cetera Wealth Services, LLCBroker
September 2019 - Present · 7 yrs 1 mo
Cetera Wealth Services, LLC
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Cetera Advisor Networks LLC
March 2021 - June 2023 · 2 yrs 3 mos
Summit Financial Group INC
September 2016 - May 2021 · 4 yrs 8 mos
Summit Brokerage Services, INC.Broker
September 2016 - September 2019 · 3 yrs
Vsr Advisory Services
February 2006 - September 2016 · 10 yrs 7 mos
Vsr Financial Services, INC.Broker
June 1985 - September 2016 · 31 yrs 3 mos
Titan Capital CorporationBroker
June 1979 - August 1979 · 2 mos
Wzw Financial Services, INC.Broker
March 1976 - May 1984 · 8 yrs 2 mos
M. H. Deckard & CO., INC.Broker
July 1973 - March 1976 · 2 yrs 8 mos
Metropolitan Securities CORPBroker
October 1967 - July 1974 · 6 yrs 9 mos
State Registrations8 states
AZFLILMONDTXWAWI
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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