James E. Sicilian
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Sicilian's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 12, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
July 21, 2020 - Present
CETERA FINANCIAL SPECIALISTS LLC
December 6, 2019 - July 23, 2020
STONEX SECURITIES INC.
April 20, 2004 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
July 9, 2001 - September 13, 2002
RUMSON CAPITAL, LLC
July 27, 1998 - November 15, 1999
SCHONFELD SECURITIES, LLC
February 6, 1998 - May 4, 1998
ON-SITE TRADING, INC.
August 28, 1997 - December 10, 1997
VISTA SECURITIES INC.
July 18, 1997 - October 1, 1997
TASIN & COMPANY, INC.
August 21, 1995 - November 2, 1995
AMERIPRISE ADVISOR SERVICES, INC.
January 31, 1995 - August 3, 1995
GILFORD SECURITIES INCORPORATED
December 23, 1994 - January 26, 1995
RICKEL & ASSOCIATES, INC.
August 12, 1994 - December 23, 1994
SOUTH RICHMOND SECURITIES, INC.
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
(7/21/2020)
(7/21/2020)
(4/12/2021)
Exams
Series 57TO
Date: 12/12/2023
Securities Trader ExamSeries 55
Date: 10/26/1999
Limited Representative-Equity Trader ExamFINRA
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 |
Red Flags
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