James J. Mcatee

CETERA INVESTMENT ADVISERS LLC

MT ZION, IL 62549

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CRD#: 1849847

Professional summary

James Jeffrey Mcatee, who also goes by Jay Mcatee, James Jeffrey Ncatee, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mt Zion, Illinois and CETERA WEALTH SERVICES, LLC located in Mt Zion, Illinois.

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 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay Mcatee | James Jeffrey Ncatee

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) 03/05/2012: NOTARY PUBLIC - TIME SPENT 1% - MT. ZION, IL 2) 09/23/2013 - MCATEE FINANCIAL CENTRE - NON-VARIABLE INSURANCE DBA - MCATEE FINANCIAL CENTRE - SOLICITATION AND SALE OF INSURANCE BASED PRODUCTS AND SECURITES - 10% OF TIME SPENT - MT ZION, IL 3) 04/08/2014 - MCATEE ACCOUNTING - TAX PREP / ACCOUNTING / BOOKKEEPING - TAX PREPARATION BY LAUREN AXE CPA UNDER THE DBA OF MCATEE ACCOUNTING. I PROVIDE AND COVER OVERHEAD INCLUDING OFFICE SPACE SECRETARY UTILITIES. RECEIVE 30% OF REVENUE. I DO NOT DO ANY TAX WORK FOR CLIENTS. - TIME SPENT 5% - MT. ZION, IL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Jeffrey Mcatee'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: One Ashland Ave, Mt Zion, IL 62549

RIA

CRD#: 105644

MT ZION, IL

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: One Ashland Ave, Mt Zion, IL 62549

CRD#: 13572

Mt Zion, IL

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

February 26, 2015 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

MT ZION, IL

Past

October 21, 2014 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

MT ZION, IL

Past

September 7, 2012 - October 29, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

MT. ZION, IL

Past

September 8, 2009 - October 29, 2014

LPL FINANCIAL LLC

CRD#: 6413

MT. ZION, IL

Past

April 29, 2008 - September 8, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

MT. ZION, IL

Past

October 1, 2002 - April 30, 2008

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

MT ZION, IL

Past

August 4, 1995 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

September 23, 1988 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

September 23, 1988 - October 12, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Alabama
(9/20/2019)

Arizona
(9/20/2019)

Arkansas
(9/20/2019)

California
(9/20/2019)

Colorado
(9/20/2019)

Florida
(9/23/2019)

Georgia
(9/20/2019)

Illinois
(9/20/2019)

IAR

Illinois
(6/29/2023)

Indiana
(9/20/2019)

Iowa
(9/20/2019)

Kentucky
(3/20/2020)

Michigan
(9/20/2019)

Minnesota
(7/29/2024)

Mississippi
(2/6/2020)

Missouri
(11/8/2024)

Nevada
(9/20/2019)

North Carolina
(9/20/2019)

North Dakota
(7/29/2024)

Ohio
(9/20/2019)

Oklahoma
(9/20/2019)

South Carolina
(7/8/2020)

Tennessee
(9/20/2019)

Texas
(9/20/2019)

IAR

Texas
(6/29/2023)

Virginia
(9/20/2019)

West Virginia
(9/20/2019)

Wisconsin
(1/12/2021)

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 66

Date: 9/6/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/24/1991

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: 6/30/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/22/1988

Investment Company Products/Variable Contracts Representative 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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Advisor Monitoring

Firm Stability Insights

James J. Mcatee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Jeffrey Mcatee's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT BROKERAGE SERVICES, INC.

SUMMIT FINANCIAL GROUP INC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MUTUAL SERVICE CORPORATION

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL EQUITY SERVICES CORPORATION

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/6/2012

Series 63

Date: 7/24/1991

SIE

Date: 10/1/2018

Series 7

Date: 6/30/2000

Series 6

Date: 9/22/1988

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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