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James Alan Issel

CETERA INVESTMENT ADVISERS
WAYNE, IL
·CRD# 1350223·41 years experience

Professional Summary

James Alan Issel is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wayne, 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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

41 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
1. Wayne, IL2. 820 E Terra Cotta Ave Ste 114, Crystal Lake, IL 60014
June 29, 2023 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
820 E Terra Cotta Ave Ste 114, Crystal Lake, IL 60014
February 10, 2012 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Wayne, IL
February 10, 2012 - June 29, 2023
MACK INVESTMENT SECURITIES, INC.·CRD# 17643
RIA
Wayne, IL
August 25, 2008 - December 16, 2011
MACK INVESTMENT SECURITIES, INC.·CRD# 17643
RIA
Wayne, IL
January 2, 2004 - December 19, 2006
MACK INVESTMENT SECURITIES, INC.·CRD# 17643
BD
Wayne, IL
January 2, 2004 - December 16, 2011
STERLING PORTFOLIO ALLOCATION SERVICE INC·CRD# 110796
RIA
Wayne, IL
October 12, 1999 - December 31, 2003
HERITAGE CAPITAL MANAGEMENT INC·CRD# 110383
RIA
Wayne, IL
June 7, 1999 - December 31, 2008
WATERSTONE FINANCIAL GROUP, INC.·CRD# 10078
BD
Boston, MA
April 21, 1999 - December 31, 2003
CETERA FINANCIAL SPECIALISTS LLC·CRD# 10358
BD
Schaumburg, IL
September 23, 1997 - April 29, 1999
DREHER & ASSOCIATES, INC.·CRD# 8665
BD
Oakbrook Terrace, IL
May 10, 1988 - September 22, 1997
AMERICAN EXPRESS FINANCIAL CORPORATION·CRD# 6320
BD
March 18, 1985 - December 24, 1986
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
March 18, 1985 - May 11, 1988

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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 - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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: 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 4. 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;

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
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)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1991About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1986About the Series 7 exam

Series 22 — Direct Participation Programs Representative Examination

Passed May 1985About the Series 22 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Mar 1985About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view James Alan Issel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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