JI
James A. Issel
CETERA INVESTMENT ADVISERS LLC
CRYSTAL LAKE, IL 60014
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CRD#: 1350223
JI
Professional summary
James Alan Issel is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Crystal Lake, Illinois and CETERA WEALTH SERVICES, LLC located in Crystal Lake, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: EXEMPLAR ACCOUNTING AND TAX, INC. INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: DBA FOR ACCOUNTING BUSINESS POSITION/TITLE/RELATIONSHIP: EMPLOYEE START DATE: 12/01/2011 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: CROSS REFERRALS OF SECURITIES AND TAX BUSINESS; 2. NAME OF OTHER BUSINESS: VARIOUS INSURANCE COMPANIES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: OFFER FIXED LIFE, HEALTH, ANNUITIES AND LTC; 3. NAME OF OTHER BUSINESS: WALTER V. ISSEL TRUST INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: TRUSTEE DUTIES POSITION/TITLE/RELATIONSHIP: SUCCESSOR TRUSTEE FOR FATHER'S TRUST ACCOUNT START DATE: 02/17/1995 APX NUMBER OF HOURS PER WEEK: 15 MINUTES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: MANAGE SMALL INVESTMENT ACCOUNT; 4. NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL ADDRESS NATURE OF BUSINESS: LEGAL START DATE: 09/2018 POSITION/TITLE/RELATIONSHIP: EXECUTOR APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: EXECUTOR OF WILL, PROPERTY AND HEATH CARE POA FOR SIBLING 5. NAME OF OTHER BUSINESS: DUPAGE COUNTY ELECTION DIVISION; INVESTMENT RELATED: NO; ADDRESS: 30W350 ARMY TRAIL ROAD WAYNE, IL 60184; NATURE OF BUSINESS: ELECTION SERVICES; START DATE: 11/2024; POSITION/TITLE/RELATIONSHIP: ELECTION JUDGE; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 7; BRIEF DESCRIPTION OF DUTIES: PROCESSING BALLOTS AT POLLING PLACE;
CRS (Client Relationship Summary) - RIA
Click below to view James Alan Issel'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 820 E Terra Cotta Ave Ste 114, Crystal Lake, IL 60014RIA
CRD#: 105644
CRYSTAL LAKE, IL
Current
February 10, 2012 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 820 E Terra Cotta Ave Ste 114, Crystal Lake, IL 60014BD
CRD#: 13572
Crystal Lake, IL
Past
February 10, 2012 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WAYNE, IL
Past
August 25, 2008 - December 16, 2011
MACK INVESTMENT SECURITIES, INC.
RIA
CRD#: 17643
WAYNE, IL
Past
January 2, 2004 - December 19, 2006
MACK INVESTMENT SECURITIES, INC.
RIA
CRD#: 17643
WAYNE, IL
Past
January 2, 2004 - December 16, 2011
MACK INVESTMENT SECURITIES, INC.
BD
CRD#: 17643
WAYNE, IL
Past
October 12, 1999 - December 31, 2003
STERLING PORTFOLIO ALLOCATION SERVICE INC
RIA
CRD#: 110796
WAYNE, IL
Past
June 7, 1999 - December 31, 2008
HERITAGE CAPITAL MANAGEMENT INC
RIA
CRD#: 110383
WAYNE, IL
Past
April 21, 1999 - December 31, 2003
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, MA
Past
September 23, 1997 - April 29, 1999
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
May 10, 1988 - September 22, 1997
DREHER & ASSOCIATES, INC.
BD
CRD#: 8665
OAKBROOK TERRACE, IL
Past
March 18, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
March 18, 1985 - May 11, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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
Florida(12/14/2015)
RR
Illinois(2/10/2012)
IAR
Illinois(6/29/2023)
RR
Indiana(2/10/2012)
RR
Tennessee(8/2/2022)
RR
Texas(2/28/2012)
IAR
Texas(6/29/2023)
RR
Wisconsin(1/6/2015)
Exams
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
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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)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Crystal Lake, IL 60014TRUST BUT VERIFY
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