JC
James C. Ciocia
CETERA INVESTMENT ADVISERS LLC
TAMPA, FL 33624
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CRD#: 1619245
JC
Professional summary
James Cosmo Ciocia is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tampa, Florida and CETERA FINANCIAL SPECIALISTS LLC located in Tampa, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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)POA FOR IMMEDIATE FAMILY MEMBER; NON-INVESTMENT RELATED 2) NAME OF OTHER BUSINESS: GENERATIONS TAX & WEALTH MANAGEMENT ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: CPA & WEALTH MANAGEMENT FIRM ; START DATE: 12/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER / CPA / FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: INVESTMENTS, ACCOUNTING & BOOKKEEPING ; 3) NAME OF OTHER BUSINESS: UNIVERSAL FINANCIAL CONSULTANTS ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED LIFE INSURANCE ; START DATE: 05/2021 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; APX NUMBER OF HOURS PER WEEK: 5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5 ; BRIEF DESCRIPTION OF DUTIES: FIXED LIFE INSURANCE SALES ; 4) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: TRUSTEE SERVICES, START DATE:12/2020, TRUSTEE, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: TRUSTEE AND FINANCIAL PROFESSIONAL ON CLIENT TRUSTS;
CRS (Client Relationship Summary) - RIA
Click below to view James Cosmo Ciocia'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 14, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3903 Northdale Boulevard Suite 270e, Tampa, FL 33624RIA
CRD#: 105644
TAMPA, FL
Current
December 3, 2020 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 3903 Northdale Boulevard Suite 270e, Tampa, FL 33624BD
CRD#: 10358
TAMPA, FL
Past
May 5, 2014 - December 22, 2020
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
TAMPA, FL
Past
November 22, 2013 - December 22, 2020
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
TAMPA, FL
Past
November 29, 2004 - May 6, 2014
ASSET & FINANCIAL PLANNING, LTD
RIA
CRD#: 110709
TAMPA, FL
Past
April 8, 1999 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
TAMPA, FL
Past
July 1, 1994 - November 6, 1998
JT SECURITIES INC.
BD
CRD#: 33850
GREAT NECK, NY
Past
November 19, 1989 - May 6, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
September 27, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
March 18, 1988 - January 2, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
March 10, 1988 - January 2, 1989
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
January 1, 1988 - March 9, 1988
GLOBAL CAPITAL SECURITIES, INC.
BD
CRD#: 13358
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(12/3/2020)
RR
California(12/3/2020)
RR
Colorado(12/3/2020)
RR
Connecticut(12/3/2020)
RR
Florida(12/3/2020)
IAR
Florida(12/14/2020)
RR
Georgia(12/3/2020)
RR
Illinois(12/3/2020)
RR
Louisiana(12/3/2020)
RR
Maine(5/16/2022)
RR
Maryland(12/3/2020)
RR
Massachusetts(12/3/2020)
RR
Michigan(12/3/2020)
RR
Minnesota(12/3/2020)
RR
Missouri(12/3/2020)
RR
Nevada(12/3/2020)
RR
New Jersey(12/3/2020)
RR
New York(12/3/2020)
RR
North Carolina(12/23/2020)
RR
Ohio(12/3/2020)
RR
Pennsylvania(12/3/2020)
RR
South Carolina(12/3/2020)
RR
Tennessee(12/3/2020)
RR
Texas(12/3/2020)
IAR
Texas(8/5/2021)
RR
Virginia(12/3/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
CRD#: 105644Tampa, FL 33624TRUST BUT VERIFY
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