James L. Hall

CETERA INVESTMENT ADVISERS LLC

BENTONVILLE, AR

Some features on this profile are disabled

CRD#: 1305791

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

Are you a "fiduciary"?

Yes

Aliases

Jim L Hall 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.) HARVEST INVESTMENT STRATEGIES, LLC; OWNER; DBA; START DATE: 02/25/2011; 160 PER MONTH. 2.) HARVEST INVESTMENT STRATEGIES; AGENT; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 06/15/2011; 4 HRS. PER MONTH. 3.) HARVEST PROPERTIES, LLC; MANAGING MEMBER; RENTAL PROPERTY/PASSIVE INVESTMENT; START DATE 1/1/2017; 1 HOURS PER WEEK. 4.) NAME OF OTHER BUSINESS: UNKNOWN GOLF INVESTMENT RELATED: NO; ADDRESS: 5204 VILLAGE PARKWAY STE 11 PMB #174 ROGERS, AR 72758; NATURE OF BUSINESS: MOBILE GOLF APP; START DATE: 03/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 12-20; APX NUMBER OF HOURS DURING TRADING HOURS: 12-20; BRIEF DESCRIPTION OF DUTIES: MARKETING, PROMOTIONS & SALES CONSULTING FOR MOBILE APP FOR GOLF;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lee Hall 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®

None

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BENTONVILLE, AR

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

CRD#: 10299

Bentonville, AR

Past

July 2, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

RUSSELLVILLE, AR

Past

February 25, 2011 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

RUSSELLVILLE, AR

Past

February 25, 2011 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

RUSSELLVILLE, AR

Past

October 25, 2006 - March 1, 2011

EDWARD JONES

RIA

CRD#: 250

SPRINGDALE, AR

Past

March 9, 1998 - March 1, 2011

EDWARD JONES

CRD#: 250

SPRINGDALE, AR

Past

December 13, 1994 - March 30, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 30, 1990 - December 13, 1994

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

August 7, 1987 - January 13, 1989

INVESTMENT/DEVELOPMENT CONCEPTS, INC.

CRD#: 17136

Past

September 20, 1984 - January 18, 1985

CAPITAL RESOURCES, INC.

CRD#: 13517

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)

IAR

Arkansas
(11/12/2020)

Arkansas
(9/8/2022)

California
(9/8/2022)

Colorado
(9/8/2022)

Florida
(9/8/2022)

Kansas
(9/8/2022)

Mississippi
(9/8/2022)

Missouri
(9/8/2022)

New Mexico
(9/8/2022)

Oklahoma
(9/8/2022)

IAR

Texas
(11/12/2020)

Texas
(9/8/2022)

Washington
(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: 7/5/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/28/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/3/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 9/11/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James L. Hall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lee Hall JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

EDWARD JONES

EDWARD JONES

MORGAN STANLEY DW INC.

EDWARD JONES

INVESTMENT/DEVELOPMENT CONCEPTS, INC.

CAPITAL RESOURCES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/5/1996

Series 63

Date: 3/28/1995

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 11/3/1997

Series 7

Date: 9/15/1984

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 9/11/1995

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

Similar Advisors