James C. Scalia

CETERA INVESTMENT ADVISERS LLC

MASSAPEQUA PARK, NY

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CRD#: 2561079

Professional summary

James Christopher Scalia, who also goes by James C Scalia, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Massapequa Park, New York and CETERA WEALTH SERVICES, LLC located in Massapequa Park, 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 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James C Scalia

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.) INDEPENDENT INSURANCE AGENT (DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE) 2 SECURITIES TRADING HOURS WEEKLY, 0 NON SECURITIES TRADING HOURS WEEKLY, START DATE 8/1999 2.) CPA - PRESIDENT AND 100 % OWNER OF JAMES SCALIA CPA PC. THE BUSINESS IS DULY REGISTERED WITH NEW YORK STATE AS A PROFESSIONAL CORPORATION 6 SECURITIES TRADING HOURS WEEKLY, 0 NON SECURITIES TRADING HOURS WEEKLY, START DATE 8/1999

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Christopher Scalia'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MASSAPEQUA PARK, NY

Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MASSAPEQUA PARK, NY

Past

November 17, 2017 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

August 1, 2003 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

MASSAPEQUA PARK, NY

Past

August 20, 1999 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

November 25, 1994 - August 19, 1999

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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

Arizona
(11/29/2023)

California
(9/3/2013)

Connecticut
(9/3/2013)

Delaware
(9/3/2013)

Florida
(9/3/2013)

Georgia
(8/20/2024)

Maryland
(9/3/2013)

Nevada
(9/3/2013)

New Hampshire
(9/3/2013)

New Jersey
(9/3/2013)

New York
(9/3/2013)

IAR

New York
(6/29/2023)

North Carolina
(9/3/2013)

Ohio
(1/14/2025)

Pennsylvania
(9/3/2013)

Rhode Island
(9/3/2013)

South Carolina
(9/3/2013)

Tennessee
(12/2/2024)

Texas
(11/16/2017)

IAR

Texas
(6/29/2023)

Utah
(9/3/2013)

Vermont
(1/26/2018)

Virginia
(8/27/2014)

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

IAR

Series 65

Date: 12/17/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/8/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/23/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/31/2009

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 12/16/1999

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

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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)

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.

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James C. Scalia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Christopher Scalia's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/1999

Series 63

Date: 11/30/1994

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 7/8/2004

Series 6

Date: 11/23/1994

Series 53

Date: 3/31/2009

Series 26

Date: 12/16/1999

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

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