James D. Mcdonald
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 Dean Mcdonald, who also goes by Jim Mcdonald, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2022 - February 5, 2026
CETERA WEALTH SERVICES, LLC
November 9, 2021 - September 30, 2026
CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC
February 23, 2017 - December 31, 2021
TRIAD ADVISORS LLC
December 22, 2014 - December 31, 2014
ONEDIGITAL
December 22, 2014 - January 6, 2022
ONEDIGITAL
January 28, 2014 - December 31, 2014
FINANCIAL ADVOCATES ADVISORY SERVICES
November 30, 2010 - March 2, 2017
LPL FINANCIAL LLC
November 30, 2010 - March 2, 2017
LPL FINANCIAL LLC
March 4, 2008 - November 30, 2010
NRP ADVISORS, INC.
March 14, 2007 - October 15, 2008
NRP FINANCIAL, INC.
December 15, 2006 - November 30, 2010
NRP FINANCIAL, INC.
April 28, 2005 - November 30, 2006
FINANCIAL TELESIS INC
August 13, 2003 - March 16, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 21, 2003 - July 21, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 2, 1998 - September 25, 2002
RBC CAPITAL MARKETS, LLC
February 7, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
May 6, 1996 - February 14, 1997
U.S. BANCORP INVESTMENTS, INC.
August 23, 1991 - July 13, 1994
IDS LIFE INSURANCE COMPANY
August 23, 1991 - July 13, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
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
What does exam status mean?
Series 26
Passed: 3/7/2006
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| MOLNAR, MICHAEL JAMES | VICE PRESIDENT | 4866129 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| NILAND, ERIK BRADLEY | VICE PRESIDENT | 2796476 |
| OBRIEN, EDWARD D | MANAGER | 2239064 |
| PATTERSON, GERALD | VICE PRESIDENT | 4302538 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
| WENIG, HARLAN DAVID | VICE PRESIDENT | 4690768 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 20 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
