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JW

James P. Williams

CETERA INVESTMENT ADVISERS
CLEVELAND, OH 44113
CRD#: 2331816
Some features on this profile are disabled
JW
James P. WilliamsCETERA INVESTMENT ADVISERS

Professional summary

James P. Williams, who also goes by James Paul Williams II, James Paul Williams, Jay Williams Ii, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cleveland, Ohio and CETERA INVESTMENT SERVICES LLC located in Cleveland, Ohio.

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 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Paul Williams Ii | James Paul Williams | Jay Williams Ii

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James P. Williams'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

May 24, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 55 Public Square Stuite 1800, Cleveland, OH 44113
RIA
CRD#: 105644
CLEVELAND, OH
Current

May 22, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 55 Public Square Ste 1800, Cleveland, OH 44113
BD
CRD#: 15340
Cleveland, OH
Past

December 9, 2013 - May 5, 2026

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
AKRON, OH
Past

December 9, 2013 - May 5, 2026

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
AKRON, OH
Past

October 15, 2010 - November 25, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
CLEVELAND, OH
Past

October 4, 2010 - November 25, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
CLEVELAND, OH
Past

January 21, 2010 - October 4, 2010

FIRSTMERIT ADVISORS, INC.

RIA
CRD#: 125249
AKRON, OH
Past

January 14, 2010 - October 4, 2010

FIRSTMERIT FINANCIAL SERVICES, INC

BD
CRD#: 149680
BARBERTON, OH
Past

June 25, 2008 - January 22, 2010

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
AKRON, OH
Past

June 20, 2008 - January 14, 2010

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
AKRON, OH
Past

April 4, 2006 - June 16, 2008

THE HUNTINGTON INVESTMENT COMPANY

RIA
CRD#: 16986
DOVER, OH
Past

July 2, 2002 - June 16, 2008

THE HUNTINGTON INVESTMENT COMPANY

BD
CRD#: 16986
DOVER, OH
Past

December 6, 2001 - June 3, 2002

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
PHOENIX, AZ
Past

September 10, 1998 - June 3, 2002

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

August 18, 1998 - September 11, 1998

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

April 24, 1995 - August 19, 1998

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

September 2, 1994 - April 7, 1995

FINANCIAL HORIZONS SECURITIES CORPORATION

BD
CRD#: 20221
Past

April 26, 1993 - August 30, 1994

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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".
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
Ohio
(5/24/2026)
IAR
Ohio
(5/24/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/13/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/25/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/30/1993
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/27/2014
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/6/2014
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/18/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/26/1999
General Securities Principal Examination
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
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 Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Cleveland, OH 44113

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