James Atwood is a registered investment advisor, based in San Diego, CA, with 24 years of industry experience.
Location
655 W Broadway12th Fl, San Diego, CA, 92101
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Regulatory History
Clean regulatory record
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 →Employment History
Current Registrations
Cetera Financial Specialists LLCBroker
November 2025 - Present · 6 mos
Cetera Wealth Services, LLCBroker
November 2025 - Present · 6 mos
Cetera Investment Services LLCBroker
November 2025 - Present · 6 mos
Cetera Investment Advisers LLC
October 2025 - Present · 7 mos
Cetera Advisors LLCBroker
October 2025 - Present · 7 mos
Previous Registrations
LPL Enterprise, LLCBroker
April 2025 - October 2025 · 6 mos
LPL Financial LLC
December 2023 - October 2025 · 1 yr 10 mos
LPL Financial LLCBroker
December 2023 - October 2025 · 1 yr 10 mos
Forge Global Advisors LLC
December 2022 - July 2023 · 7 mos
Forge Securities LLCBroker
May 2021 - July 2023 · 2 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2012 - May 2021 · 9 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2012 - May 2021 · 9 yrs 4 mos
Madison Avenue Securities, INC.Broker
April 2011 - November 2011 · 7 mos
Madison Avenue Securities, INC.
April 2011 - November 2011 · 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - December 2010 · 1 yr 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - December 2010 · 1 yr 2 mos
Banc of America Investment Services, INC.
March 2008 - October 2009 · 1 yr 7 mos
Banc of America Investment Services, INC.Broker
May 2005 - October 2009 · 4 yrs 5 mos
TD Waterhouse Investor Services, INC.Broker
February 2001 - April 2005 · 4 yrs 2 mos
State Registrations52 states
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Exams
No exam information available for this advisor.