JV
JV
James Varnum
20 Years of Experience
New Vienna, OH
1 DisclosureBroker
James Varnum is a registered investment advisor at Cetera Investment Advisers LLC, based in New Vienna, OH, with 20 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
New Vienna, OH
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Regulatory History (1)
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Customer Dispute
May 2012Settled
Employment History
Current Registrations
Cetera Investment Advisers LLC
July 2025 - Present · 1 yr 3 mos
Cetera Wealth Services, LLC
July 2025 - Present · 1 yr 3 mos
Cetera Wealth Services, LLCBroker
July 2025 - Present · 1 yr 3 mos
Previous Registrations
Nationwide Investment Advisors, LLC
May 2014 - May 2025 · 11 yrs
Nationwide Investment Services CorporationBroker
May 2014 - May 2025 · 11 yrs
J.P. Morgan Securities LLCBroker
October 2012 - March 2014 · 1 yr 5 mos
J.P. Morgan Securities LLC
October 2012 - March 2014 · 1 yr 5 mos
Chase Investment Services CORP.
February 2012 - October 2012 · 8 mos
Chase Investment Services CORP.Broker
February 2012 - October 2012 · 8 mos
PNC Investments
November 2009 - January 2012 · 2 yrs 2 mos
PNC InvestmentsBroker
November 2009 - January 2012 · 2 yrs 2 mos
Natcity Investments, INC.
August 2008 - November 2009 · 1 yr 3 mos
Natcity Investments, INC.Broker
February 2007 - November 2009 · 2 yrs 9 mos
Fort Washington Brokerage Services, INC.Broker
February 2002 - June 2003 · 1 yr 4 mos
State Registrations1 state
OH
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.