James E. Pede

CETERA INVESTMENT ADVISERS LLC

WEST DES MOINES, IA 50266

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CRD#: 1182649

Professional summary

James Edward Pede JR, CFP®, who also goes by Jim E Pede Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Des Moines, Iowa and CETERA ADVISORS LLC located in West Des Moines, Iowa.

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 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim E Pede Jr

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. INSURANCE - AGENT 2. LUTHERAN CHURCH OF HOPE - USHER/GREETER 3. PEDE & STRAND FINANCIAL SERVICES; DBA; SELF-EMPLOYED;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Pede JR'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: 1987

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1200 Valley West Dr., Ste 202, West Des Moines, IA 50266

RIA

CRD#: 105644

WEST DES MOINES, IA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 1200 Valley West Drive Suite 105, West Des Moines, IA 50266

CRD#: 10299

West Des Moines, IA

Past

May 30, 2008 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

WEST DES MOINES, IA

Past

January 3, 2007 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

WEST DES MOINES, IA

Past

January 6, 1999 - January 3, 2007

FFP ADVISORY SERVICES INC

RIA

CRD#: 110778

WEST DES MOINES, IA

Past

January 16, 1998 - May 30, 2008

FFP SECURITIES, INC.

CRD#: 16337

WEST DES MOINES, IA

Past

October 30, 1993 - January 9, 1998

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

November 10, 1983 - October 29, 1993

CENTURY INVESTORS OF AMERICA, INC.

CRD#: 5322

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
(9/8/2022)

Colorado
(9/8/2022)

Georgia
(9/8/2022)

IAR

Iowa
(11/12/2020)

Iowa
(9/8/2022)

Kansas
(9/8/2022)

Maryland
(7/1/2025)

Minnesota
(9/8/2022)

Missouri
(9/8/2022)

Texas
(9/8/2022)

IAR

Texas
(11/1/2022)

Washington
(9/8/2022)

Wisconsin
(9/8/2022)

Wyoming
(9/8/2022)

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: 9/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/10/1984

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: 11/19/1996

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/26/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 11/5/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 10/30/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/3/1999

General Securities 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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Advisor Monitoring

Firm Stability Insights

James E. Pede

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Pede JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FFP ADVISORY SERVICES INC

FFP SECURITIES, INC.

CUNA BROKERAGE SERVICES, INC.

CENTURY INVESTORS OF AMERICA, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/22/1999

Series 63

Date: 1/10/1984

SIE

Date: 10/1/2018

Series 7

Date: 11/19/1996

Series 22

Date: 10/26/1984

Series 6

Date: 11/5/1983

Series 51

Date: 10/30/2003

Series 24

Date: 3/3/1999

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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