James L. Hall
Professional summary
James Lee Hall JR, who also goes by Jim L Hall Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bentonville, Arkansas and CETERA ADVISORS LLC located in Bentonville, Arkansas.
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 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Lee Hall JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
September 8, 2022 - Present
CETERA ADVISORS LLC
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
February 25, 2011 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
February 25, 2011 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
October 25, 2006 - March 1, 2011
EDWARD JONES
March 9, 1998 - March 1, 2011
EDWARD JONES
December 13, 1994 - March 30, 1998
MORGAN STANLEY DW INC.
May 30, 1990 - December 13, 1994
EDWARD JONES
August 7, 1987 - January 13, 1989
INVESTMENT/DEVELOPMENT CONCEPTS, INC.
September 20, 1984 - January 18, 1985
CAPITAL RESOURCES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/8/2022)
(11/12/2020)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(11/12/2020)
(9/8/2022)
(9/8/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 8
Date: 9/11/1995
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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.
