JD
JD
James Duncan
22 Years of Experience
El Segundo, CA
Broker
James Duncan is a registered investment advisor at Cetera Investment Advisers LLC, based in El Segundo, CA, with 22 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
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
2301 Rosecrans Ave #5100, El Segundo, CA, 90245
Get directionsHistory
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 Investment Advisers LLC
March 2023 - Present · 3 yrs 2 mos
Cetera Investment Services LLC
October 2017 - Present · 8 yrs 7 mos
Cetera Financial Specialists LLCBroker
October 2017 - Present · 8 yrs 7 mos
Cetera Investment Services LLCBroker
October 2017 - Present · 8 yrs 7 mos
Cetera Financial Specialists LLC
October 2017 - Present · 8 yrs 7 mos
Cetera Advisors LLC
September 2017 - Present · 8 yrs 8 mos
Cetera Advisors LLCBroker
September 2017 - Present · 8 yrs 8 mos
Cetera Wealth Services, LLCBroker
September 2017 - Present · 8 yrs 8 mos
Cetera Wealth Services, LLC
September 2017 - Present · 8 yrs 8 mos
Previous Registrations
First Allied Securities, INC.Broker
October 2017 - September 2022 · 4 yrs 11 mos
Summit Brokerage Services, INC.Broker
October 2017 - December 2019 · 2 yrs 2 mos
Cetera Advisor Networks LLC
October 2017 - June 2023 · 5 yrs 8 mos
VALIC Financial Advisors, INC.
August 2015 - September 2017 · 2 yrs 1 mo
Woodbury Financial Services, INC.
August 2015 - May 2016 · 9 mos
Fsc Securities Corporation
August 2015 - May 2016 · 9 mos
Royal Alliance Associates, INC.
August 2015 - May 2016 · 9 mos
Sagepoint Financial, INC.
August 2015 - May 2016 · 9 mos
VALIC Financial Advisors, INC.Broker
April 2015 - September 2017 · 2 yrs 5 mos
Fsc Securities CorporationBroker
April 2015 - May 2016 · 1 yr 1 mo
Sagepoint Financial, INC.Broker
April 2015 - May 2016 · 1 yr 1 mo
Woodbury Financial Services, INC.Broker
April 2015 - May 2016 · 1 yr 1 mo
Royal Alliance Associates, INC.Broker
April 2015 - May 2016 · 1 yr 1 mo
LPL Financial LLC
September 2014 - April 2015 · 7 mos
LPL Financial LLCBroker
September 2014 - April 2015 · 7 mos
Fsc Securities Corporation
November 2011 - August 2014 · 2 yrs 9 mos
Royal Alliance Associates, INC.Broker
May 2010 - August 2014 · 4 yrs 3 mos
Sagepoint Financial, INC.Broker
May 2010 - August 2014 · 4 yrs 3 mos
Fsc Securities CorporationBroker
May 2004 - August 2014 · 10 yrs 3 mos
Citigroup Global Markets INC.Broker
November 2003 - May 2004 · 6 mos
State Registrations1 state
GA
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.