James E. Sicilian

CETERA INVESTMENT ADVISERS LLC

BAYSIDE, NY

Some features on this profile are disabled

CRD#: 2520717

Professional summary

James Edward Sicilian, who also goes by Jimmy Edward Sicilian, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bayside, New York and CETERA FINANCIAL SPECIALISTS LLC located in Bayside, New York.

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 13 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jimmy Edward Sicilian

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)FDNY; BROOKLYN, NY; NON-INVESTMENT RELATED; FIREFIGHTER; SINCE 11/1999; 160 HRS/MO 2)SANDBOX REALTY; EDGEWATER, NJ; NON-INVESTMENT RELATED; COMMERCIAL LEASING; SINCE 06/2020; 16 HOURS/MO 3)CHUBBY CHECKS; BAYSIDE HILLS, NY; NON-INVESTMENT REALTED; CONSULTING FOR RETAIL LEASING MARKET IN NY; 20 HRS/MO; SINCE 07/2003 4) NAME OF OTHER BUSINESS: JAMES SICILIAN; INVESTMENT RELATED: NO; ADDRESS: 214-03 38TH AVENUE BAYSIDE NY 11361; NATURE OF BUSINESS: RENTAL MANAGEMENT; START DATE: 7/2015; POSITION/TITLE/RELATIONSHIP: OWNER/MANAGER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: RENTALS ON AIRBNB, CUSTOMER SERVICE, HOUSEKEEPING, DAY TO DAY OPERATIONS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Sicilian'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

April 12, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BAYSIDE, NY

Current

July 21, 2020 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

BAYSIDE, NY

Past

December 6, 2019 - July 23, 2020

STONEX SECURITIES INC.

CRD#: 18456

BAYSIDE, NY

Past

April 20, 2004 - December 6, 2019

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

July 9, 2001 - September 13, 2002

RUMSON CAPITAL, LLC

CRD#: 33848

MONTEBELLO, NY

Past

July 27, 1998 - November 15, 1999

SCHONFELD SECURITIES, LLC

CRD#: 23304

JERICHO, NY

Past

February 6, 1998 - May 4, 1998

ON-SITE TRADING, INC.

CRD#: 30271

GREAT NECK, NY

Past

August 28, 1997 - December 10, 1997

VISTA SECURITIES INC.

CRD#: 36706

GARDEN CITY, NY

Past

July 18, 1997 - October 1, 1997

TASIN & COMPANY, INC.

CRD#: 30709

HAUPPAUGE, NY

Past

August 21, 1995 - November 2, 1995

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

January 31, 1995 - August 3, 1995

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

Past

December 23, 1994 - January 26, 1995

RICKEL & ASSOCIATES, INC.

CRD#: 7839

NEW YORK, NY

Past

August 12, 1994 - December 23, 1994

SOUTH RICHMOND SECURITIES, INC.

CRD#: 14913

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(7/21/2020)

New York
(7/21/2020)

IAR

New York
(4/12/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/18/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 12/12/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/26/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/11/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James E. Sicilian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Sicilian's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

STONEX SECURITIES INC.

QUEST CAPITAL STRATEGIES, INC.

RUMSON CAPITAL, LLC

SCHONFELD SECURITIES, LLC

ON-SITE TRADING, INC.

VISTA SECURITIES INC.

TASIN & COMPANY, INC.

AMERIPRISE ADVISOR SERVICES, INC.

GILFORD SECURITIES INCORPORATED

RICKEL & ASSOCIATES, INC.

SOUTH RICHMOND SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/18/1994

Series 57TO

Date: 12/12/2023

SIE

Date: 10/1/2018

Series 55

Date: 10/26/1999

Series 7

Date: 8/11/1994

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors