James E. Ives

PURSHE KAPLAN STERLING INVESTMENTS

Cerritos, CA 90703

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CRD#: 1365926

Professional summary

James Edward Ives is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Cerritos, California.

James is registered as a RR (Registered Representative) and started their career in finance in 1985. James has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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. IVES INSURANCE -VARIOUS INSURANCE COMPANIES INSURANCE SOLE PROPRIETOR - SELLS FIXED INSURANCE, LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE, COVERED CALIFORNIA HEALTH INS 2. HSA BANK HEALTH SAVINGS ACCOUNTS REPRESENTATIVE- RECOMMENDS HSA BANK TO CLIENTS WHO PURCHASE COMPATIBLE HEALTH PLANS; 3. NAME OF OTHER BUSINESS: DBA LEGACY FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 07/2017; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Edward Ives'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

January 2, 2024 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 17215 Studebaker Rd Suite 395, Cerritos, CA 90703

CRD#: 35747

Cerritos, CA

Past

June 29, 2023 - December 31, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CERRITOS, CA

Past

March 31, 1998 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

CERRITOS, CA

Past

May 21, 1985 - December 31, 2023

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CERRITOS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(1/2/2024)

Colorado
(1/2/2024)

Georgia
(1/2/2024)

Michigan
(1/2/2024)

Ohio
(1/2/2024)

Oregon
(1/2/2024)

South Dakota
(1/2/2024)

Texas
(1/2/2024)

Utah
(1/2/2024)

Wyoming
(1/2/2024)

Exams

State Security Law Exam

Series 63

Date: 2/21/1996

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: 5/18/1985

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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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James E. Ives

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Edward Ives's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/21/1996

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1985

FINRA

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

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