JH
James E. Hearns
CETERA INVESTMENT ADVISERS LLC
Minocqua, WI
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CRD#: 241117
JH
Professional summary
James Edward Hearns is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Minocqua, Wisconsin and CETERA WEALTH SERVICES, LLC located in Naples, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1967. James has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 40 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.
(1) - - DBA-JAMES E HEARNS AND ASSOCIATES LLC; NOT INVESTMENT RELATED; 600 EAST LINCOLN HIGHWAY, NEW LENOX, IL 60451; ACCOUNTING & TAX SERVICES.; RETIRED PARTNER; BEGAN 1960; 40 HOURS PER MONTH WITH 50 DURING TRADING HOURS; PROVIDES TAX PLANNING AND ACCOUNTING SERVICES. (2)- - 71 ORCHARDS LLC/TERESA'S ORCHARDS; NOT INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; PREVIOUSLY FRUIT ORCHARD BUSINESS; MANAGING PARTNER; STARTED 12/19/2011; APX 3 HOURS/MONTH ALL DURING TRADING; MANAGE ASSETS RECEIVED FROM SALE OF FORMER FRUIT ORCHARD BUSINESS (3) - - Theresa's Orchards LLC;at branch office;Manage assets received from sale of former fruit orchard business; 3 hrs a month all during trading hours (4) NAME OF OTHER BUSINESS: JAMES E HEARNS & ASSOCIATES, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS:15; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Hearns'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
April 7, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #3: 600 East Lincoln Highway Suite A, New Lenox, IL 60451RIA
CRD#: 105644
Minocqua, WI
Current
September 3, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #3: 600 East Lincoln Highway Suite A, New Lenox, IL 60451BD
CRD#: 13572
NAPLES, FL
Past
March 17, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
NEW LENOX, IL
Past
September 1, 2016 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
New Lenox, IL
Past
September 1, 2016 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
NEW LENOX, IL
Past
February 14, 2006 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
NEW LENOX, IL
Past
June 14, 1985 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
NEW LENOX, IL
Past
June 8, 1979 - August 31, 1979
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
Past
March 23, 1976 - May 15, 1984
WZW FINANCIAL SERVICES, INC.
BD
CRD#: 5717
Past
July 11, 1973 - March 25, 1976
M. H. DECKARD & CO., INC.
BD
CRD#: 539
Past
October 26, 1967 - July 12, 1974
METROPOLITAN SECURITIES CORP
BD
CRD#: 1000001
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
Arizona(9/20/2019)
RR
Florida(9/20/2019)
IAR
Florida(4/7/2023)
RR
Illinois(9/20/2019)
IAR
Illinois(6/29/2023)
RR
Missouri(8/13/2024)
RR
North Dakota(9/20/2019)
RR
Texas(1/29/2024)
IAR
Texas(1/30/2024)
RR
Washington(9/20/2019)
RR
Wisconsin(1/6/2020)
IAR
Wisconsin(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 10/25/1967
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 6/12/1978
Registered Principal ExaminationSRO 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)Upgrade to AdvisorCheck Premium
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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.
