James J. Carden

CETERA INVESTMENT ADVISERS LLC

MT PLEASANT, SC

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CRD#: 2317149

Professional summary

James Joseph Carden JR, who also goes by James Joseph Carden, Jim Carden Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mt Pleasant, South Carolina and CETERA WEALTH SERVICES, LLC located in Mt Pleasant, South Carolina.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Joseph Carden | Jim Carden Jr

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.

CAROLINA CAPITAL MANAGEMENT, MT PLEASANT SC, FIXED INSURANCE AGENT, 5/2020-ONGOING, 5 HOURS PER MONTH, 5 TRADE HOURS SHOEMAKER FINANCIAL POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/06/2020 ADDRESS: 2176 West St, Suite 100, Germantown TN 38138, United States DESCRIPTION: Fixed Insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Carden 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

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MT PLEASANT, SC

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 260 West Coleman Blvd Suite C, Mt Pleasant, SC 29464

CRD#: 13572

Mt Pleasant, SC

Past

May 12, 2020 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

Mt Pleasant, SC

Past

May 6, 2020 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

Mt Pleasant, SC

Past

May 8, 2012 - February 6, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

MT. PLEASANT, SC

Past

May 8, 2012 - February 6, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

MT. PLEASANT, SC

Past

April 2, 2008 - May 11, 2012

OSAIC WEALTH, INC.

RIA

CRD#: 23131

MANALAPAN, NJ

Past

February 25, 2008 - May 11, 2012

OSAIC WEALTH, INC.

CRD#: 23131

MANALAPAN, NJ

Past

October 7, 2004 - February 21, 2008

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

SEA GIRT, NJ

Past

September 3, 2003 - February 21, 2008

SAXONY SECURITIES, INC.

CRD#: 115547

SEA GIRT, NJ

Past

January 11, 1995 - September 8, 2003

CLEARING SERVICES OF AMERICA, INC.

CRD#: 23623

ST. LOUIS, MO

Past

May 10, 1994 - January 18, 1995

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 12, 1993 - May 16, 1994

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

Past

March 2, 1993 - August 14, 1993

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, 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

Florida
(8/14/2023)

New Jersey
(8/10/2023)

South Carolina
(8/10/2023)

IAR

South Carolina
(8/10/2023)

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: 2/14/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/17/1993

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: 2/10/1993

General Securities 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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Firm Stability Insights

James J. Carden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Carden JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SAXONY CAPITAL MANAGEMENT, LLC

SAXONY SECURITIES, INC.

CLEARING SERVICES OF AMERICA, INC.

OSAIC WEALTH, INC.

BARRON CHASE SECURITIES, INC.

H.J. MEYERS & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/14/2001

Series 63

Date: 2/17/1993

SIE

Date: 10/1/2018

Series 7

Date: 2/10/1993

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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