James R. Mckay
CETERA INVESTMENT ADVISERS LLC
Renton, WA 98057
Some features on this profile are disabled
CRD#: 1170810
Professional summary
James Russell Mckay, AIF®, CFP®, who also goes by Jim Mckay, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Renton, Washington and CETERA WEALTH SERVICES, LLC located in Renton, Washington.
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 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Mckay
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)GRANDMA MABELS HOUSE, LLC; NO; 6000 SOUTHCENTER BLVD #70; TUKWILA; WA; 98188; RENTAL PROPERTY; CO-OWNER; 7/26/2017; 5; 0; MANAGING RENTAL PROPERTY 2)PACIFIC RIM FINANCIAL GROUP, INC; YES; SAME AS REGISTERED LOCATION,; FINANCIAL SERVICES/DBA; MANAGING MEMBER/PRESIDENT; 7/1/1993; 160; 160; SALE OF FIXED INSURANCE,SECURITIES AND INVESTMENT PRODUCTS 3) ESTATE PLANNING COUNCIL OF SOUTH KING COUNTY; YES; PO BOX 1332; KENT; WA; 98035; INDUSTRY NETWORKING GROUP; CHARTER MEMBER; 3/9/2012; 3; 3; MEET TO DISCUSS ESTATE PLANNING ISSUES AND TO NETWORK WITH OTHER LOCAL ESTATE PLANNING PROFESSIONALS 4) INDEPENDENT INSURANCE AGENT; YES; SAME AS REGISTERED LOCATION,; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 2/13/1986; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 5) MCKAY WEALTH MANAGEMENT; YES; SAME AS REGISTERED LOCATION; FINANCIAL SERVICES/DBA; CO-OWNER; 8/1/2014; 40; 40; SALE & SERVICE OF INSURANCE, SECURITIES AND INVESTMENT PRODUCTS. 6) NAME OF OTHER BUSINESS: MCKAY RETIREMENT CONSULTANTS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 2/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR SALE AND SERVICE INSURANCE & FINANCIAL SERVICES; 7) J&S PENSION SERVICES D/B/A PACIFIC PENSIONS SERVICES NW; YES; SAME AS REGISTERED LOCATION,; THIRD PARTY ADMINISTRATOR; OWNER; 11/1/2008; 8; 8; MANAGE THE EMPLOYMENT OF STAFF AND BUSINESS. NO OPERATIONAL DUTIES. 8) JAMES R MCKAY, CFP, LLC; YES; SAME AS REGISTERED LOCATION,; DBA; OWNER; 1/1/2009; 160; 160; DBA FOR INSURANCE AND INVESTMENTS 9) AMERICAN BENEFITS FINANCIAL SERVICES, INVESTMENT RELATED: YES, SAME AS REGISTERED LOCATION, ,FINANCIAL SERVICES, STARTED: 01/2022,: OWNER, APX NUMBER OF HOURS PER WEEK: 20, DURING TRADING HOURS: 20, DBA FOR FINANCIAL SERVICES; 10) LIFE SETTLEMENT BUSINESS, INVESTMENT RELATED: NO, SAME AS REGISTERED LOCATION, LIFE SETTLEMENT, STARTED: 12/2024,APX NUMBER OF HOURS PER WEEK: VARIES, DURING TRADING HOURS: VARIES, INSURANCE AGENT, SELLS LIFE SETTLEMENTS THROUGH CETERA APPROVED VENDORS;
CRS (Client Relationship Summary) - RIA
Click below to view James Russell Mckay'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®
CFP®
Start date: 1988
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 901 Powell Avenue Sw, Ste 100, Renton, WA 98057RIA
CRD#: 105644
Renton, WA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 901 Powell Avenue Sw, Ste 100, Renton, WA 98057BD
CRD#: 13572
Renton, WA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
December 21, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
TUKWILA, WA
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
TUKWILA, WA
Past
January 24, 1986 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
October 6, 1983 - February 10, 1986
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.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
Alaska(6/9/2021)
RR
Arizona(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Connecticut(8/19/2024)
RR
Florida(4/18/2022)
RR
Montana(6/9/2021)
RR
New Mexico(6/9/2021)
RR
Ohio(9/17/2024)
RR
Oklahoma(5/5/2022)
RR
Oregon(6/9/2021)
RR
Puerto Rico(6/9/2021)
RR
South Dakota(4/27/2023)
RR
Tennessee(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(2/18/2025)
RR
Washington(6/9/2021)
IAR
Washington(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
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)
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.
