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Brian James

Cetera Investment Advisers LLC
8 Years of Experience
Portage, MI
1 DisclosureBroker
View SEC Summary
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Brian James is a registered investment advisor at Cetera Investment Advisers LLC, based in Portage, MI, with 8 years of industry experience. Brian 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.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

2340 E Centre Ave, Portage, MI, 49002

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History

Regulatory History (1)
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Criminal
January 1995
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Cetera Investment Advisers LLC
May 2026 - Present · 5 mos
Cetera Investment Services LLCBroker
May 2026 - Present · 5 mos
Previous Registrations
PNC Wealth Management LLCBroker
March 2024 - May 2026 · 2 yrs 2 mos
PNC Wealth Management
March 2024 - May 2026 · 2 yrs 2 mos
Personal Wealth Partners LLC
May 2022 - October 2022 · 5 mos
Cx Institutional, LLC
April 2018 - February 2024 · 5 yrs 10 mos
LPL Financial LLCBroker
February 2018 - July 2020 · 2 yrs 5 mos
State Registrations3 states
INMITX
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.
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