James R. Lane

CETERA INVESTMENT ADVISERS LLC

JERSEY CITY, NJ 07305

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CRD#: 1746170

Professional summary

James Rowland Lane, who also goes by James R Lane, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jersey City, New Jersey and CETERA INVESTMENT SERVICES LLC located in Jersey City, New Jersey.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 12 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 R Lane

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Rowland Lane'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

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1553 Kennedy Boulevard, Jersey City, NJ 07305Office #3: 3670 Kennedy Blvd, Jersey City, NJ 07307

RIA

CRD#: 105644

JERSEY CITY, NJ

Current

October 12, 2010 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3670 Kennedy Blvd, Jersey City, NJ 07307Office #2: 1553 Kennedy Boulevard, Jersey City, NJ 07305

CRD#: 15340

Jersey City, NJ

Past

October 12, 2010 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

Jersey City, NJ

Past

May 2, 2009 - October 12, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

STATEN ISLAND, NY

Past

May 2, 2009 - October 12, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

STATEN ISLAND, NY

Past

December 5, 2007 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

STATEN ISLAND, NY

Past

December 5, 2007 - May 2, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

STATEN ISLAND, NY

Past

April 11, 2006 - November 5, 2007

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

MELVILLE, NY

Past

July 8, 2004 - November 5, 2007

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

EAST HANOVER, NJ

Past

January 27, 2004 - July 9, 2004

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

January 31, 2002 - February 9, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

September 27, 2001 - November 30, 2001

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

November 19, 1997 - November 6, 2000

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

February 20, 1997 - November 12, 1997

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

July 15, 1994 - July 19, 1996

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

November 25, 1987 - July 22, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Connecticut
(11/20/2023)

Florida
(10/22/2010)

New Jersey
(10/12/2010)

IAR

New Jersey
(1/21/2014)

New York
(10/12/2010)

North Carolina
(2/15/2024)

Pennsylvania
(10/12/2010)

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

IAR

Series 65

Date: 4/3/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/1987

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: 11/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/31/2008

General Securities Principal 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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Firm Stability Insights

James R. Lane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Rowland Lane's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

WAMU INVESTMENTS, INC.

QUICK & REILLY, INC.

DIRECTED SERVICES LLC

FLEET ENTERPRISES, INC.

MARKETING ONE SECURITIES, INC.

FIRST UNION CAPITAL MARKETS CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/3/2006

Series 63

Date: 12/9/1987

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1987

Series 24

Date: 3/31/2008

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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