JA
James K. Adams
CETERA INVESTMENT ADVISERS LLC
MENDOTA HEIGHTS, MN 55120
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CRD#: 2200954
JA
Professional summary
James Keith Adams is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mendota Heights, Minnesota and CETERA WEALTH SERVICES, LLC located in Mendota Heights, Minnesota.
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 6 firms and has passed the Series 63, SIE and Series 7 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:Adams Consulting Group, LLC; Yes; 1650 WEST 82ND ST STE 1080; BLOOMINGTON; MN; 55431; FINANCIAL SERVICES; Owner; 1/1/1997; 160; 160; provide financial services and In addition to working with corporate clients regarding their employee benefit programs, will prepare and deliver multiple education sessions/workshops for employees and executives to help them better understand their employee/executive benefit plans and how these coordinate with their overall financial/retirement planning.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1650 WEST 82ND ST STE 1080; BLOOMINGTON; MN; 55431; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/15/2009; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|
CRS (Client Relationship Summary) - RIA
Click below to view James Keith Adams's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1295 Northland Drive Suite #200, Mendota Heights, MN 55120RIA
CRD#: 105644
MENDOTA HEIGHTS, MN
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1295 Northland Drive Suite #200, Mendota Heights, MN 55120BD
CRD#: 13572
MENDOTA HEIGHTS, MN
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 30, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
BLOOMINGTON, MN
Past
January 24, 2001 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BLOOMINGTON, MN
Past
November 21, 1997 - December 31, 2000
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
August 25, 1995 - November 27, 1995
BMA FINANCIAL SERVICES, INC.
BD
CRD#: 7943
KANSAS CITY, MO
Past
August 23, 1993 - August 7, 1995
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
January 8, 1992 - June 18, 1993
IAI SECURITIES, INC.
BD
CRD#: 27917
MINNEAPOLIS, MN
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
Alabama(6/9/2021)
RR
Arizona(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Connecticut(8/10/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Illinois(6/9/2021)
RR
Iowa(6/9/2021)
RR
Maryland(6/9/2021)
RR
Massachusetts(6/9/2021)
RR
Minnesota(6/9/2021)
IAR
Minnesota(6/29/2023)
RR
Mississippi(4/2/2025)
RR
Missouri(6/9/2021)
RR
Nebraska(6/9/2021)
RR
Nevada(1/4/2024)
RR
New Jersey(6/9/2021)
RR
North Carolina(6/9/2021)
RR
North Dakota(6/9/2021)
RR
Pennsylvania(1/5/2022)
RR
South Dakota(6/9/2021)
RR
Tennessee(9/10/2024)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Virgin Islands(6/9/2021)
RR
Virginia(6/9/2021)
RR
Wisconsin(6/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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)
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 | ||
| 11/18/2022 |
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.
