James Stoes
James Stoes is a registered investment advisor at Cetera Investment Advisers LLC, based in Gilbert, AZ, with 16 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
4365 E Pecos Rd Suite 120, Gilbert, AZ, 85295
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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 is the owner and financial planner for San Tan Planning and Investments, PLLC, a financial services DBA. He dedicates full-time hours to the sale and service of insurance, securities, and investment products.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Voya Financial Advisors, INC.
Voya Financial Advisors, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Edward Jones
Edward JonesBroker
Equitrust Marketing Services, LLCBroker
State Registrations3 states
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.