James M. Dowdy

CETERA INVESTMENT ADVISERS LLC

DULUTH, GA

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CRD#: 1275473

Professional summary

James Marvin Dowdy, who also goes by Jim Dowdy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Duluth, Georgia and CETERA WEALTH SERVICES, LLC located in Duluth, Georgia.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Dowdy

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) Family Wealth Management, LLC~'IR'~2170 Satellite Blvd, Ste 175~Duluth~GA~30097~Other~Owner~11/4/2016~160hrs~130hrs~Act as a Broker and Investment Advisor for Avantax business. Meet with clients, communicate with clients. Communicate with HD Vest.|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Marvin Dowdy'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®

None

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

DULUTH, GA

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2170 Satellite Blvd Ste 175, Duluth, GA 30097

CRD#: 13572

Duluth, GA

Past

March 5, 2015 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Duluth, GA

Past

December 22, 2014 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Duluth, GA

Past

December 18, 2000 - March 20, 2001

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

September 11, 2000 - December 18, 2000

NORTH COAST SECURITIES CORPORATION

CRD#: 35982

SAN FRANCISCO, CA

Past

August 4, 1997 - September 21, 2000

CENTENNIAL CAPITAL MANAGEMENT, INC.

CRD#: 38988

ATLANTA, GA

Past

January 16, 1997 - May 16, 1997

WORLD INVEST CORPORATION

CRD#: 17223

DEERFIELD BEACH, FL

Past

September 16, 1993 - February 24, 1994

NEW LONDON CAPITAL, INC.

CRD#: 32594

DECATUR, GA

Past

February 1, 1993 - November 22, 1993

WORLD INVEST CORPORATION

CRD#: 17223

DEERFIELD BEACH, FL

Past

April 5, 1991 - December 31, 1992

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

June 18, 1990 - April 8, 1991

PLANNED INVESTMENTS INC.

CRD#: 5066

ATLANTA, GA

Past

February 1, 1990 - August 14, 1990

INVESTORS ASSET MANAGEMENT, INC.

CRD#: 7968

Past

February 20, 1986 - December 31, 1989

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

November 7, 1984 - December 26, 1985

LABREC SECURITIES, INC.

CRD#: 10473

Past

July 26, 1984 - November 2, 1984

NEW ENGLAND SECURITIES

CRD#: 615

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

Alabama
(9/5/2025)

Arizona
(9/5/2025)

Florida
(9/5/2025)

Georgia
(9/5/2025)

IAR

Georgia
(9/5/2025)

New Mexico
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Utah
(9/5/2025)

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 66

Date: 1/20/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/13/1984

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: 12/22/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/20/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/8/1993

Registered Options 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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Firm Stability Insights

James M. Dowdy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Marvin Dowdy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

NORTH COAST SECURITIES CORPORATION

CENTENNIAL CAPITAL MANAGEMENT, INC.

WORLD INVEST CORPORATION

NEW LONDON CAPITAL, INC.

WORLD INVEST CORPORATION

IFG NETWORK SECURITIES, INC.

PLANNED INVESTMENTS INC.

INVESTORS ASSET MANAGEMENT, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

LABREC SECURITIES, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/20/2015

Series 63

Date: 8/13/1984

SIE

Date: 10/1/2018

Series 7

Date: 12/22/2014

Series 24

Date: 9/20/1997

Series 4

Date: 12/8/1993

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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