James R. Clifford

CETERA INVESTMENT ADVISERS LLC

MOUNT PLEASANT, SC 29466

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CRD#: 2131590

Professional summary

James R Clifford JR, who also goes by James R Clifford, James Robert Clifford, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mount Pleasant, South Carolina and CETERA ADVISORS LLC located in Mount Pleasant, South Carolina.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James R Clifford | James Robert Clifford

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) JAMES R. CLIFFORD; START DATE:2/20/2007. 2) ATLAS METALS; OWNER; "DOING BUSINESS AS" (DBA); START DATE: 9/20/2010 3) NAME OF OTHER BUSINESS: CLIFFORD BOOTES ASSET MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2022, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James R Clifford JR'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

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3017 Ashburton Way, Mount Pleasant, SC 29466

RIA

CRD#: 105644

MOUNT PLEASANT, SC

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 3017 Ashburton Way, Mount Pleasant, SC 29466

CRD#: 10299

Mount Pleasant, SC

Past

July 10, 2013 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

MOUNT PLEASANT, SC

Past

June 13, 2005 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Mount Pleasant, SC

Past

June 3, 2002 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

April 24, 1996 - June 3, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 9, 1993 - May 6, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 18, 1992 - August 9, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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

Connecticut
(6/11/2025)

Illinois
(2/28/2025)

Kentucky
(9/8/2022)

Minnesota
(9/8/2022)

New Jersey
(9/8/2022)

North Carolina
(9/8/2022)

Pennsylvania
(9/8/2022)

IAR

South Carolina
(11/12/2020)

South Carolina
(9/8/2022)

Tennessee
(9/8/2022)

Texas
(7/8/2025)

IAR

Texas
(7/8/2025)

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 65

Date: 10/25/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/7/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/31/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/28/2002

General Securities Principal 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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Firm Stability Insights

James R. Clifford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James R Clifford JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/25/1999

Series 63

Date: 3/2/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 12/7/2001

Series 7

Date: 7/31/1991

Series 24

Date: 10/28/2002

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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