James A. Mcmahon
Professional summary
James A Mcmahon, who also goes by James A Mcmahon III, James A Mcmahon, James Aloysius Mcmahon III, James A Mcmahon Iii, James Aloysius Mcmahon Iii Iii, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Livingston, Montana and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James A Mcmahon's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
November 30, 2021 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245November 30, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245December 1, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
October 30, 2019 - October 27, 2021
KESTRA ADVISORY SERVICES, LLC
October 30, 2019 - October 26, 2021
KESTRA INVESTMENT SERVICES, LLC
August 1, 2019 - July 1, 2021
WATTS CAPITAL PARTNERS LLC
May 22, 2019 - August 2, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 27, 2019 - July 31, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 12, 2012 - April 22, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
January 15, 2008 - December 2, 2011
RAYMOND JAMES & ASSOCIATES, INC.
April 2, 2007 - October 24, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - October 24, 2007
MORGAN STANLEY & CO. LLC
June 3, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
April 3, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
August 24, 1994 - April 8, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
(12/1/2021)
(6/29/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 8/24/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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.
