James R. Casey

NORTH AMERICAN WEALTH ADVISORS

Jordan, MN 55352

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CRD#: 2183077

Professional summary

James Richard Casey, CFP®, ChFC® is a registered financial advisor currently at NORTH AMERICAN WEALTH ADVISORS INC. located in Jordan, Minnesota and CETERA INVESTMENT ADVISERS LLC located in Jordan, Minnesota.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. James has worked at 8 firms and has passed the Series 65, 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.

NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 224 WATER ST; JORDAN; MN; 55352; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 8/15/2012; 160; 160; SALE OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:North American Wealth Advisors; Yes; 224 Water Street; Jordan; MN; 55352; Independent RIA / Voya Hybrid; CEO; 11/1/2018; 160; 130; Receive fees for managing client assets|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Casey'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®

CFP^®

Certified Financial Planner

Start date: 2012

ChFC^®

Chartered Financial Consultant

Experience

Current

July 16, 2018 - Present

NORTH AMERICAN WEALTH ADVISORS INC.

Office #1: 224 Water Street, Jordan, MN 55352

RIA

CRD#: 297057

Jordan, MN

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 224 Water St, Jordan, MN 55352

RIA

CRD#: 105644

JORDAN, MN

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 224 Water St, Jordan, MN 55352

CRD#: 13572

Jordan, MN

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

March 11, 2021 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

JORDAN, MN

Past

January 30, 2014 - December 31, 2020

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

JORDAN, MN

Past

March 30, 2000 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

JORDAN, MN

Past

March 11, 1996 - April 12, 2000

CRI SECURITIES, LLC

CRD#: 22589

ST. PAUL, MN

Past

February 23, 1996 - April 12, 2000

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

December 16, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

December 16, 1991 - March 8, 1996

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

Arizona
(11/30/2021)

IAR

Minnesota
(7/16/2018)

Minnesota
(6/9/2021)

IAR

Texas
(7/16/2018)

Wisconsin
(9/12/2025)

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: 6/2/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/2/1992

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: 6/26/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/12/1991

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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James R. Casey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Casey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

CRI SECURITIES, LLC

SECURIAN FINANCIAL SERVICES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/2001

Series 63

Date: 1/2/1992

SIE

Date: 10/1/2018

Series 7

Date: 6/26/1998

Series 6

Date: 12/12/1991

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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