James D. Sitaras
Professional summary
James Dimitrios Sitaras JR, who also goes by James D Sitaras Jr, Jim Sitaras Jr, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Bear, Delaware.
James is registered as a RR (Registered Representative) and started their career in finance in 1991. James has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Dimitrios Sitaras JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
September 17, 2015 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
December 17, 2009 - December 4, 2015
J.P. TURNER & COMPANY, L.L.C.
March 20, 2003 - December 17, 2009
VFINANCE INVESTMENTS, INC
February 22, 2000 - May 1, 2001
J.P. TURNER & COMPANY, L.L.C.
November 11, 1999 - February 28, 2000
EMERSON BENNETT & ASSOCIATES
June 25, 1996 - June 15, 1999
GLOBAL CAPITAL SECURITIES CORPORATION
December 7, 1995 - July 2, 1996
SCHNEIDER SECURITIES, INC.
June 30, 1994 - April 11, 1995
MEYERS POLLOCK ROBBINS, INC.
June 24, 1992 - July 11, 1994
TAMARON INVESTMENTS, INC.
April 10, 1992 - June 25, 1992
J. W. GANT & ASSOCIATES, INC.
January 1, 1992 - May 26, 1992
H.J. MEYERS & CO., INC.
May 2, 1991 - November 25, 1991
GUARDIAN INTERNATIONAL SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/20/2019)
(9/23/2019)
(2/20/2025)
(9/20/2019)
(9/20/2019)
(9/20/2019)
(9/30/2019)
(9/20/2019)
Exams
FINRA
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 | |
| 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 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| 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 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| 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 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| 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.
