James A. Garland

CETERA INVESTMENT ADVISERS LLC

WESTBROOK, ME

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CRD#: 1073785

Professional summary

James Abner Garland, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westbrook, Maine and CETERA WEALTH SERVICES, LLC located in Westbrook, Maine.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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.

NAME OF ENTITY: Independent insurance agent; Yes; 477 LAFFIN DR WESTBROOK ME 04092; WESTBROOK; ME; 4092; FIXED INSURANCE SALES; Independent insurance agent; 4/4/2008; 8; 8; Sales of fixed insurance products.|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Abner Garland'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WESTBROOK, ME

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WESTBROOK, ME

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

August 10, 2007 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

WESTBROOK, ME

Past

July 16, 2007 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WESTBROOK, ME

Past

March 9, 2006 - July 18, 2007

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

PORTLAND, ME

Past

March 7, 2006 - July 18, 2007

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

PORTLAND, ME

Past

October 16, 2002 - February 21, 2006

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

WESTBROOK, ME

Past

February 17, 1983 - February 21, 2006

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Connecticut
(6/9/2021)

Florida
(6/10/2021)

Maine
(6/9/2021)

IAR

Maine
(6/29/2023)

Massachusetts
(6/9/2021)

Michigan
(6/9/2021)

New Hampshire
(6/9/2021)

Oklahoma
(2/2/2022)

Virginia
(6/9/2021)

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: 7/23/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/31/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/29/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/28/2003

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 A. Garland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Abner Garland's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/1997

Series 63

Date: 5/31/1989

SIE

Date: 10/1/2018

Series 7

Date: 12/9/1997

Series 6

Date: 1/29/1983

Series 26

Date: 7/28/2003

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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