JS
James L. Skaggs
CETERA WEALTH SERVICES
EDMOND, OK
Some features on this profile are disabled
CRD#: 1131083
JS
Professional summary
James Lewis Skaggs, who also goes by Jim Skaggs, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Edmond, Oklahoma.
James is registered as a 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 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Skaggs
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.
(1) INDEPENDENT INSURANCE AGENT DISABILITY, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE FOR 50HRS/WK & 4HRS EVENING & WKENDS SINCE 1978 (2) JS CHARTER INVESTMENT, LLC EDMOND, OK OWNER/ 50%PARTNER RENTAL REAL ESTATE PROPERTY FOR 1HR/WK & 2HRS EVENING & WKENDS SINCE 2008; (3) NAME OF OTHER BUSINESS: CHARTER FINANCIAL GROUP INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE SALES; START DATE: 09/1994; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: SALES AND CUSTOMER SERVICE; (4) NAME OF OTHER BUSINESS: SIGMA ALPHA EPSILON FRATERNITY ; INVESTMENT RELATED: NO ; ADDRESS: 1856 SHERIDAN RD, EVANSTON, IL 60201 ; NATURE OF BUSINESS: NATIONAL FRATERNITY ; START DATE: 07/2021 ; POSITION/TITLE/RELATIONSHIP: EMINENT SUPREME CHRONICLER ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: ZOOM MEETINGS AND PERIDICALLY VISITING FRATERNITY CHAPTERS AROUND THE COUNTRY ;
CRS (Client Relationship Summary) - BD
Click below to view James Lewis Skaggs's 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®
NoneExperience
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EDMOND, OK
Past
June 29, 2023 - April 11, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
EDMOND, OK
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 24, 1999 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
EDMOND, OK
Past
July 26, 1996 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EDMOND, OK
Past
March 20, 1995 - July 29, 1996
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
July 14, 1988 - February 16, 1995
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
July 28, 1983 - August 24, 1988
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Nebraska(9/22/2021)
RR
Oklahoma(9/3/2013)
RR
Texas(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
