James J. Gibson

CETERA INVESTMENT ADVISERS LLC

YARDLEY, PA 19067

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CRD#: 1420473

Professional summary

James Joseph Gibson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Yardley, Pennsylvania and CETERA ADVISORS LLC located in Morrisville, Pennsylvania.

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 15 firms and has passed the Series 63, SIE and Series 7 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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 9/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, HEALTH, DISABILITIES, ANNUITIES, & LONG TERM CARE 2. NAME OF OTHER BUSINESS: J GIBSON & ASSOCIATES, INC. INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: ACCOUNTING, BOOKKEEPING, TAX AND CONSULTING SERVICES; 3. NAME OF OTHER BUSINESS: 44TH STREET CAPITAL ADVISORS LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 7/2025;, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Gibson'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 301 Oxford Valley Rd Ste 1202a, Yardley, PA 19067

RIA

CRD#: 105644

YARDLEY, PA

Current

September 14, 2017 - Present

CETERA ADVISORS LLC

Office #1: 385 Oxford Valley Road Suite 321, Morrisville, PA 19067Office #2: 301 Oxford Valley Rd Ste 1202a, Yardley, PA 19067

CRD#: 10299

Morrisville, PA

Past

September 14, 2017 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

September 18, 2015 - November 6, 2017

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

Yardley, PA

Past

September 8, 2009 - September 8, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

YARDLEY, PA

Past

September 8, 2009 - September 22, 2017

LPL FINANCIAL LLC

CRD#: 6413

YARDLEY, PA

Past

May 17, 2006 - September 8, 2009

WATERSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 10078

YARDLEY, PA

Past

July 22, 2005 - September 8, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

YARDLEY, PA

Past

September 16, 2004 - July 25, 2005

WORTHMARK FINANCIAL SERVICES, LLC

CRD#: 47086

ST. PAUL, MN

Past

December 2, 2003 - September 1, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

June 5, 2002 - December 2, 2003

TRUSTED SECURITIES ADVISORS CORP.

CRD#: 24049

NEW YORK, NY

Past

December 4, 1992 - May 28, 2002

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

November 2, 1990 - July 30, 1991

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

October 6, 1988 - November 29, 1988

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

April 20, 1988 - October 8, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

February 22, 1988 - May 13, 1988

T.H. LEHMAN SECURITIES CORPORATION

CRD#: 16283

Past

January 27, 1986 - February 4, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 20, 1985 - February 5, 1986

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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

Colorado
(9/14/2017)

Florida
(9/14/2017)

Maryland
(9/30/2021)

New Jersey
(9/14/2017)

New York
(9/14/2017)

Pennsylvania
(9/14/2017)

IAR

Pennsylvania
(3/21/2024)

South Carolina
(9/14/2017)

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

Series 63

Date: 2/5/1986

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: 11/16/1985

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

James J. Gibson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Gibson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WATERSTONE FINANCIAL GROUP, INC.

WATERSTONE FINANCIAL GROUP, INC.

WORTHMARK FINANCIAL SERVICES, LLC

MONY SECURITIES CORPORATION

TRUSTED SECURITIES ADVISORS CORP.

AVANTAX INVESTMENT SERVICES, INC.

SUNPOINT SECURITIES, INC.

FORESTERS EQUITY SERVICES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

T.H. LEHMAN SECURITIES CORPORATION

MORGAN STANLEY DW INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/5/1986

SIE

Date: 10/1/2018

Series 7

Date: 11/16/1985

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

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