James H. Stark
Professional summary
James Harold Stark, CFP®, CIMA®, who also goes by Jim Stark, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tucson, Arizona and CETERA ADVISORS LLC located in Tucson, Arizona.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Harold Stark's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2007
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1610 E River Rd #116, Tucson, AZ 85718April 30, 2019 - Present
CETERA ADVISORS LLC
Office #1: 1610 E River Rd Ste 116, Tucson, AZ 85718April 30, 2019 - March 21, 2024
CETERA ADVISORS LLC
June 12, 2009 - May 7, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 12, 2009 - May 7, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 30, 2002 - July 1, 2009
UBS FINANCIAL SERVICES INC.
August 30, 2002 - July 1, 2009
UBS FINANCIAL SERVICES INC.
August 5, 1993 - September 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 16, 1990 - September 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/30/2019)
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(3/21/2024)
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(5/12/2021)
(1/16/2025)
(3/19/2026)
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(3/25/2021)
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(7/19/2024)
(7/25/2023)
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(12/3/2021)
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(3/21/2024)
(4/30/2019)
(5/8/2019)
(7/20/2022)
(4/30/2019)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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