James R. Julian

CETERA INVESTMENT ADVISERS LLC

CARMEL, IN

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CRD#: 1038299

Professional summary

James Ray Julian is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Carmel, Indiana and CETERA WEALTH SERVICES, LLC located in Carmel, Indiana.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 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 JULIAN GROUP; Investment Related; Carmel, IN 46032; Other; Owner; Start Date 11/2009; 20 hours per month with those 20 hours per month occurring during trading hours; Marketing related duties. >> JAMES R JULIAN (INSURANCE); Investment Related; Carmel, IN 46032; Insurance; Owner; Start Date 01/2002; 15 hours per month on average with most of those hours per month occurring during trading hours; Life, Disability Income, Medical, Fixed Annuity and Medicare insurance product sales and service. >> JAMES R JULIAN (TPA); Non-Investment Related; Carmel, IN 46032; 3rd Party Administrator; Owner; Started 01/2002; 80 hours per month, except during annual Form 5500 filing period in July, with 24 hours per month occurring during trading hours; I provide 3rd party administration to 401(k) plans for clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ray Julian'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

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CARMEL, IN

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Carmel, IN

Past

February 24, 2010 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Carmel, IN

Past

November 3, 2009 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Carmel, IN

Past

October 4, 2005 - November 3, 2009

OSAIC WEALTH, INC.

RIA

CRD#: 23131

CARMEL, IN

Past

May 3, 2005 - November 3, 2009

OSAIC WEALTH, INC.

CRD#: 23131

CARMEL, IN

Past

May 18, 2002 - May 10, 2005

OSAIC FA, INC.

RIA

CRD#: 3978

CARMEL, IN

Past

December 20, 2001 - May 10, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 20, 2001 - May 10, 2005

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

August 2, 2001 - November 21, 2001

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

October 21, 1997 - August 6, 2001

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

October 21, 1997 - August 6, 2001

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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

Arizona
(2/20/2025)

California
(2/20/2025)

Florida
(2/20/2025)

Illinois
(2/20/2025)

Indiana
(2/20/2025)

IAR

Indiana
(2/20/2025)

Kentucky
(2/20/2025)

Minnesota
(8/4/2025)

Ohio
(2/20/2025)

Pennsylvania
(2/20/2025)

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 66

Date: 4/11/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/20/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 4/11/2007

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 11/10/1997

Investment Company Products/Variable Contracts 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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James R. Julian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ray Julian's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/11/2002

SIE

Date: 10/1/2018

Series 7

Date: 3/19/2002

Series 6

Date: 10/20/1997

Series 51

Date: 4/11/2007

Series 24

Date: 9/8/2005

Series 26

Date: 11/10/1997

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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