James Parker
James Parker is a registered investment advisor at Cetera Investment Advisers LLC, based in Oxnard, CA, with 29 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
Oxnard, CA
Get directionsHistory
Regulatory History (2)
Customer Dispute
March 2004Customer Dispute
January 2002Other Business ActivitiesSells Insurance
James sells group disability, critical care, and bridge health insurance for Colonial Life, dedicating a few hours per week. He also owns rental real estate and spends minimal time on property maintenance. Finally, James sells fixed insurance with various companies, spending minimal time on this activity.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLCBroker
Previous Registrations
Cetera Advisors LLC
Sorrento Pacific Financial, LLC
Sorrento Pacific Financial, LLCBroker
Partnervest Advisory Services LLC
Partnervest Securities, INC.Broker
Citicorp Investment Services
Citicorp Investment ServicesBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Morgan Stanley Dw INC.Broker
State Registrations8 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.