James T. Mattson
CETERA INVESTMENT ADVISERS LLC | Financial Advisor
Sarona, WI
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CRD#: 1369103
Professional summary
James Theodore Mattson Jr, who also goes by James Theodore Mattson Jr, James Theodore Mattson, Jim Mattson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sarona, Wisconsin and CETERA WEALTH SERVICES, LLC located in Sarona, Wisconsin.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Investment Management
Retirement Income Strategies
Executive Compensation and Ben...
Are you a "fiduciary"?
Yes
Aliases
James Theodore Mattson Jr | James Theodore Mattson | Jim Mattson
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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/1986 APX NUMBER OF HOURS PER WEEK: .5 APX NUMBER OF HOURS DURING TRADING HOURS: .5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: MATTSON WEALTH MANAGEMENT, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2023 POSITION/TITLE/RELATIONSHIP: FINANCIAL CONSULTANT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: WILL BE PROVIDING BROKERAGE AND ADVISORY SERVICES TO CLIENTS WHEN NEEDED; 3. NAME OF OTHER BUSINESS: ADVISORNET FINANCIAL INC DBA ADVISORNET WEALTH PARTNERS - CRD#113074; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ADVISORY SERVICES; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE; START DATE: 1/2024; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT; 4. NAME OF OTHER BUSINESS: 3J'S BUCKING BULLS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: LLC; START DATE: 3/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LLC CREATED FOR RAISING BUCKING BULLS FOR RODEOS;
CRS (Client Relationship Summary) - RIA
Click below to view James Theodore Mattson Jr'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
December 4, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 110 Cheshire Ln Suite 200, Minnetonka, MN 55305RIA
CRD#: 105644
Sarona, WI
Current
December 4, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 110 Cheshire Ln Suite 200, Minnetonka, MN 55305BD
CRD#: 13572
Sarona, WI
Past
January 30, 2024 - November 14, 2024
ADVISORNET WEALTH PARTNERS
RIA
CRD#: 113074
Sarona, WI
Past
May 22, 2020 - December 5, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
EDINA, MN
Past
May 22, 2020 - December 5, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
EDINA, MN
Past
December 10, 2010 - May 27, 2020
MORGAN STANLEY
RIA
CRD#: 149777
ST.PAUL, MN
Past
December 10, 2010 - May 27, 2020
MORGAN STANLEY
BD
CRD#: 149777
ST.PAUL, MN
Past
December 8, 1995 - December 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
EAU CLAIRE, WI
Past
December 8, 1995 - December 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
EAU CLAIRE, WI
Past
April 19, 1991 - December 20, 1995
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
May 23, 1986 - May 2, 1991
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Arizona(12/4/2023)
RR
Connecticut(12/4/2023)
RR
Florida(12/4/2023)
RR
Illinois(12/4/2023)
RR
Indiana(12/4/2023)
RR
Massachusetts(12/4/2023)
RR
Michigan(12/4/2023)
RR
Minnesota(12/4/2023)
IAR
Minnesota(1/17/2024)
RR
South Dakota(12/4/2023)
RR
Virginia(12/4/2023)
RR
Wisconsin(12/4/2023)
IAR
Wisconsin(12/4/2023)
Exams
State Security Law Exam
State Security Law 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
Financial AdvisorCRD#: 105644Sarona, WITRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
