JV
James T. Vonderwerth
CETERA WEALTH SERVICES
Concord, CA 94520
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CRD#: 2371065
JV
Professional summary
James Thomas Vonderwerth, who also goes by Du Bois, Jim Vonderwerth, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Concord, California.
James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 8 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Du Bois | Jim Vonderwerth
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.
CRS (Client Relationship Summary) - BD
Click below to view James Thomas Vonderwerth'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
August 13, 2008 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520BD
CRD#: 13572
Concord, CA
Past
May 4, 2007 - January 10, 2008
PENSION PLANNERS SECURITIES, INC.
RIA
CRD#: 14068
FOLSOM, CA
Past
May 4, 2007 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
BD
CRD#: 14068
FOLSOM, CA
Past
May 14, 2003 - May 8, 2007
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
AUBURN, CA
Past
August 30, 2001 - May 8, 2007
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
AUBURN, CA
Past
May 18, 2000 - August 20, 2001
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
June 3, 1998 - April 14, 2000
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, CA
Past
May 14, 1997 - June 16, 1997
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
May 2, 1996 - May 17, 1996
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
Past
August 23, 1993 - March 11, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Arizona(2/13/2024)
RR
California(8/13/2008)
RR
Colorado(1/3/2024)
RR
Hawaii(1/5/2017)
RR
Idaho(1/4/2023)
RR
Maryland(10/10/2022)
RR
Montana(6/30/2025)
RR
Nevada(11/20/2024)
RR
Oklahoma(3/9/2023)
RR
South Carolina(12/2/2024)
RR
Texas(9/16/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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 WEALTH SERVICES, LLC
CRD#: 13572Concord, CA 94520TRUST BUT VERIFY
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