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JS

James A. Steele

CETERA INVESTMENT ADVISERS LLC
SANDWICH, MA 02563
Some features on this profile are disabled
CRD#: 1898956
JS

Professional summary

James Albert Steele is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sandwich, Massachusetts and CETERA ADVISORS LLC located in Sandwich, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. James has worked at 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Albert Steele'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

April 1, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 28 Route 6a, Sandwich, MA 02563
RIA
CRD#: 105644
SANDWICH, MA
Current

October 3, 2016 - Present

CETERA ADVISORS LLC

BD
CRD#: 10299
Sandwich, MA
Past

October 3, 2016 - March 22, 2024

CETERA ADVISORS LLC

RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past

June 16, 2005 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
Sandwich, MA
Past

January 15, 2004 - June 16, 2005

EASTERN POINT ADVISORS INC.

RIA
CRD#: 107123
LYNNFIELD, MA
Past

April 1, 2002 - October 3, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
Sandwich, MA
Past

October 22, 1999 - April 1, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 27, 1989 - August 24, 1999

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

January 27, 1989 - August 24, 1999

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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
Maryland
(10/3/2016)
RR
Massachusetts
(10/3/2016)
IAR
Massachusetts
(4/1/2024)
RR
New Hampshire
(10/3/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/22/1999
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/7/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/23/1989
Investment Company Products/Variable Contracts Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Sandwich, MA 02563

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