James A. Lindsay

CETERA INVESTMENT ADVISERS LLC

SAN MARCOS, CA

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CRD#: 1002597

Professional summary

James Alan Lindsay is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Marcos, California and CETERA WEALTH SERVICES, LLC located in San Marcos, California.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. James has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alan Lindsay's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAN MARCOS, CA

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SAN MARCOS, CA

Past

March 22, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

October 1, 2012 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

SAN MARCOS, CA

Past

September 29, 2012 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

CARLSBAD, CA

Past

September 24, 2004 - August 28, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

CARLSBAD, CA

Past

September 24, 2004 - August 28, 2012

LPL FINANCIAL LLC

CRD#: 6413

CARLSBAD, CA

Past

May 14, 2003 - October 4, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CARLSBAD, CA

Past

July 27, 1998 - October 4, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 26, 1993 - August 14, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 31, 1993 - December 2, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 29, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 17, 1987 - July 30, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 25, 1981 - December 15, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

July 30, 1981 - November 18, 1981

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/20/2019)

IAR

California
(6/29/2023)

Colorado
(9/13/2024)

Florida
(9/23/2019)

North Carolina
(11/15/2020)

South Dakota
(9/20/2019)

Texas
(3/22/2021)

IAR

Texas
(6/29/2023)

Washington
(9/20/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/20/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/26/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/11/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/20/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James A. Lindsay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alan Lindsay's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

E. F. HUTTON & COMPANY INC

TITAN/VALUE EQUITIES GROUP, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/20/1992

Series 63

Date: 2/26/1982

SIE

Date: 10/1/2018

Series 3

Date: 1/11/1991

Series 7

Date: 6/20/1981

Series 24

Date: 12/16/2004

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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