James Gibbs
James Gibbs is a registered investment advisor at Cetera Investment Advisers LLC, based in Ashland, KY, with 27 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
5048 Banbury Rd, Ashland, KY, 41101
Get directionsHistory
Regulatory History (4)
Customer Dispute
October 2008Customer Dispute
August 2006Employment Separation After Allegations
May 2006Customer Dispute
February 2006Other Business ActivitiesSells Insurance
James has 50% ownership in American Mandarin Restaurant and Checkers Laundromat, contributing to building upkeep and daily input respectively. He also sells insurance products through various carriers for a few hours per week and owns rental properties through ZTB Enterprises LLC and Shannco LLC.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Summit Financial Group INC
Summit Brokerage Services, INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
A. G. Edwards & Sons, INC.
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations5 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.