JH
James S. Hatcher
CETERA INVESTMENT ADVISERS LLC
LAS VEGAS, NV
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CRD#: 1474336
JH
Professional summary
James Samuel Hatcher, CFP®, who also goes by James S Hatcher, James Samual Jim Hatcher, Jim Hatcher, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Las Vegas, Nevada and CETERA ADVISORS LLC located in Las Vegas, Nevada.
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 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James S Hatcher | James Samual Jim Hatcher | Jim Hatcher
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. FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; FIXED INSURANCE; INSURANCE AGENT; SELLS ANNUITIES.
2. JAMES S HATCHER BROKER; NOT INVESTMENT RELATED; 25 RIDGELINE DR. NEWPORT BEACH, CA 92660; REAL ESTATE; START 1982; 1-2 HOURS/WEEK; VARIES DURING AND AFTER TRADING HOURS; REAL ESTATE SALES
3. PARTNERS IN MINISTRY EXPRESSING COMPASSION FOUNDATION; NOT INVESTMENT RELATED; 604 GREEN SAGE WAY, LAS VEGAS, NV 89130; CHARITABLE FOUNDATION; START 2008; 1 HOUR/WEEK AFTER TRADING HOURS; VOLUNTEER/PRESIDENT/CREATOR
4. NAME OF OTHER BUSINESS: HATCHER FINANCIAL GROUP DBA HATCHER FINANCIAL CORP,
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERED LOCATION,
NATURE OF BUSINESS: FINANCIAL SERVICES,
START DATE: 6/2005,
APX NUMBER OF HOURS PER WEEK: 60,
APX NUMBER OF TRADING HOURS PER WEEK: 32.5,
POSITION/TITLE/RELATIONSHIP: BRANCH MANAGER,
BRIEF DESCRIPTION OF DUTIES: FINANCIAL MANAGER;
6. RIDGELINE REALTY HOLDINGS, LLC, NOT INVESTMENT RELATED, 2637 DUNMOORE DR, SNELLVILLE, GA 30078, REAL ESTATE, STARTED 06/2012, POSITION/TITLE/RELATIONSHIP: PARTNER, APX 2 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OWNED RENTAL PROPERTIES.
CRS (Client Relationship Summary) - RIA
Click below to view James Samuel Hatcher'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®
CFP®
Start date: 1987
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LAS VEGAS, NV
Current
July 21, 2005 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Las Vegas, NV
Past
July 21, 2005 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
NEWPORT BEACH, CA
Past
December 15, 1997 - July 21, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
NEWPORT BEACH, CA
Past
June 13, 1986 - July 21, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 13, 1986 - July 21, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
March 19, 1986 - June 2, 1986
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
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
Alabama(1/9/2012)
RR
Arizona(7/21/2005)
RR
California(7/21/2005)
IAR
California(3/21/2024)
RR
Colorado(1/4/2022)
RR
Connecticut(7/17/2024)
RR
Florida(1/24/2018)
RR
Georgia(7/21/2005)
RR
Hawaii(1/4/2022)
RR
Idaho(3/17/2020)
RR
Kansas(2/27/2023)
RR
Kentucky(1/5/2006)
RR
Maryland(1/4/2022)
RR
Massachusetts(1/4/2010)
RR
Michigan(7/21/2005)
RR
Missouri(8/29/2017)
RR
Nebraska(10/9/2017)
RR
Nevada(7/21/2005)
IAR
Nevada(3/21/2024)
RR
New Jersey(7/21/2005)
RR
New York(7/21/2005)
RR
North Carolina(10/21/2024)
RR
Ohio(7/21/2005)
RR
Oregon(7/21/2005)
RR
South Carolina(11/22/2022)
RR
Tennessee(1/4/2023)
RR
Texas(7/21/2005)
IAR
Texas(3/21/2024)
RR
Virginia(7/21/2005)
RR
Washington(7/21/2005)
RR
Wisconsin(7/21/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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.
