JD
JD
James Dolan
28 Years of Experience
Oceanside, NY
1 DisclosureBroker
James Dolan is a registered investment advisor at Cetera Investment Advisers LLC, based in Oceanside, NY, with 28 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
Oceanside, NY
Get directionsHistory
Regulatory History (1)
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Customer Dispute
May 1998Award / Judgment
Employment History
Current Registrations
Cetera Investment Advisers LLC
July 2026 - Present · 3 mos
Cetera Wealth Services, LLC
July 2026 - Present · 3 mos
Cetera Wealth Services, LLCBroker
July 2026 - Present · 3 mos
Previous Registrations
Aegis Capital CORP.Broker
June 2015 - October 2023 · 8 yrs 4 mos
Richard James & Associates, INC.Broker
July 2014 - March 2017 · 2 yrs 8 mos
J.D. Nicholas & Associates, INC.Broker
February 2007 - June 2015 · 8 yrs 4 mos
Partners Capital Services, INC.
May 2005 - January 2007 · 1 yr 8 mos
American Capital Partners, LLCBroker
December 2002 - February 2007 · 4 yrs 2 mos
Trident Partners LTD.Broker
May 2000 - December 2002 · 2 yrs 7 mos
First Montauk Securities CORP.Broker
August 1998 - June 2000 · 1 yr 10 mos
Foster Jeffries Securities, LLCBroker
October 1996 - June 1998 · 1 yr 8 mos
R.T.G. Richards and Company, INC.Broker
March 1995 - October 1996 · 1 yr 7 mos
Joseph Roberts & CO., INC.Broker
November 1994 - February 1995 · 3 mos
State Registrations1 state
NY
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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