James J. Szpara
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Joseph Szpara was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - January 11, 2024
CETERA INVESTMENT ADVISERS LLC
August 7, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
August 7, 2012 - January 11, 2024
CETERA INVESTMENT SERVICES LLC
December 10, 2010 - August 9, 2012
EQUITABLE ADVISORS, LLC
November 15, 2010 - August 9, 2012
EQUITABLE ADVISORS, LLC
September 22, 2008 - June 24, 2009
CETERA INVESTMENT SERVICES LLC
September 22, 2008 - June 24, 2009
BANCNORTH INVESTMENT GROUP, INC.
June 4, 2008 - August 27, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 4, 2008 - August 27, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 30, 2006 - June 5, 2008
CETERA INVESTMENT SERVICES LLC
October 30, 2006 - June 5, 2008
CETERA INVESTMENT SERVICES LLC
October 20, 2004 - October 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 14, 2004 - October 20, 2004
QUICK & REILLY, INC.
April 14, 2004 - October 20, 2004
QUICK & REILLY, INC.
January 5, 2004 - March 29, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 20, 2001 - March 29, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 12, 2000 - December 20, 2001
UBS FINANCIAL SERVICES INC.
April 4, 1997 - May 18, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 1992 - February 25, 1997
FLEET ENTERPRISES, INC.
March 26, 1992 - July 13, 1992
USLIFE EQUITY SALES CORP.
April 21, 1989 - October 29, 1991
COMPULIFE INVESTOR SERVICES, INC.
July 7, 1988 - September 27, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 7, 1988 - September 27, 1988
EQUITABLE ADVISORS, LLC
June 8, 1987 - October 13, 1987
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
