James Flewelling
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Flewelling, who also goes by James Boyd Flewelling, Jim Boyd Flewelling, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - November 6, 2024
CETERA INVESTMENT ADVISERS LLC
August 2, 2021 - November 6, 2024
CETERA ADVISORS LLC
October 20, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
October 20, 2020 - November 6, 2024
CETERA INVESTMENT SERVICES LLC
October 20, 2020 - November 6, 2024
CETERA WEALTH SERVICES, LLC
April 28, 2020 - September 18, 2020
MML INVESTORS SERVICES, LLC
April 27, 2020 - September 18, 2020
MML INVESTORS SERVICES, LLC
November 23, 2016 - May 3, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 22, 2016 - May 3, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 13, 2009 - March 14, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
March 13, 2009 - March 14, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
March 22, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 22, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 20, 2004 - January 12, 2007
UBS FINANCIAL SERVICES INC.
August 20, 2004 - January 12, 2007
UBS FINANCIAL SERVICES INC.
July 1, 2003 - August 25, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 25, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 28, 1993 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
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
Exams
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 | ||
| 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.
