James Waligora
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Waligora, who also goes by Jim Waligora, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2002 - October 1, 2019
CETERA INVESTMENT ADVISERS LLC
November 14, 2000 - October 1, 2019
CETERA FINANCIAL SPECIALISTS LLC
January 12, 2000 - November 21, 2000
WMA SECURITIES, INC.
December 21, 1995 - December 31, 1999
SUNAMERICA SECURITIES, INC.
March 14, 1995 - January 6, 1996
WALNUT STREET SECURITIES, INC.
October 30, 1987 - January 4, 1995
PFS INVESTMENTS INC.
August 5, 1986 - October 23, 1987
THE ADVISORS GROUP, INC.
February 9, 1983 - April 21, 1986
DERAND/PENNINGTON/BASS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
