JR
James C. Reed
CETERA INVESTMENT ADVISERS LLC
BRENTWOOD, TN 37027
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CRD#: 1772699
JR
Professional summary
James Carlos Reed, who also goes by Carlos Reed, J Carlos Reed, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brentwood, Tennessee and CETERA WEALTH SERVICES, LLC located in Brentwood, Tennessee.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos Reed | J Carlos Reed
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.
(dba) REED FINANCIAL GROUP INC; Investment Related; Brentwood, TN 37027; Insurance; Owner/President/Financial Professional; Start Date 05/1987; 160 hours per month with all 160 hours per month occurring during trading hours; Offering Accident & Health, Traditional Life, Disability, Income, and Annuity insurance products. >> POA; Non-Investment Related; Other; Power of Attorney; Start Date 10/2019; No hours per month; Medical and financial power of attorney for my widowed mother. >> JAMES REED (EXECUTOR); Non-Investment Related; Brentwood, TN; Other; Executor; Start Date 10/2019; No hours per month; Executor of my deceased father's estate.
CRS (Client Relationship Summary) - RIA
Click below to view James Carlos Reed'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 240 Wilson Pike Circle Suite 150, Brentwood, TN 37027RIA
CRD#: 105644
BRENTWOOD, TN
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 240 Wilson Pike Circle Suite 150, Brentwood, TN 37027BD
CRD#: 13572
Brentwood, TN
Past
August 31, 2017 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Brentwood, TN
Past
August 29, 2017 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Brentwood, TN
Past
December 15, 2005 - December 22, 2016
INDEPENDENT ADVISERS GROUP CORP
RIA
CRD#: 106684
BRENTWOOD, TN
Past
January 28, 2004 - September 13, 2017
OSAIC FS, INC.
RIA
CRD#: 3870
BRENTWOOD, TN
Past
October 1, 1997 - September 13, 2017
OSAIC FS, INC.
BD
CRD#: 3870
BRENTWOOD, TN
Past
April 4, 1995 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, IN
Past
August 4, 1994 - April 21, 1995
COMPREHENSIVE FINANCIAL SERVICES, INC.
BD
CRD#: 22710
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(2/20/2025)
RR
Arizona(2/20/2025)
RR
Arkansas(8/27/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Iowa(3/27/2025)
RR
Kansas(2/20/2025)
RR
Kentucky(2/20/2025)
RR
Louisiana(2/20/2025)
RR
Michigan(2/20/2025)
RR
Mississippi(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Ohio(2/20/2025)
RR
Pennsylvania(2/20/2025)
RR
South Carolina(2/20/2025)
RR
Tennessee(2/20/2025)
IAR
Tennessee(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Virginia(2/20/2025)
RR
West Virginia(2/20/2025)
Exams
State Security Law Exam
General Industry/Product 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.
