James S. Dolan

CETERA INVESTMENT ADVISERS

Oceanside, NY

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CRD#: 2562134

Professional summary

James Shaun Dolan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oceanside, New York and CETERA WEALTH SERVICES, LLC located in Fort Myers, Florida.

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 66, Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.

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. NAME OF OTHER BUSINESS: OMNI FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 8/2026 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: COMPASS INVESTMENT RELATED: NO ADDRESS: 300 DUNES BLVD SUITE 103 NAPLES, FL 34110 NATURE OF BUSINESS: REAL ESTATE START DATE: 05/2026 POSITION/TITLE/RELATIONSHIP: REAL ESTATE ASSOCIATE APX NUMBER OF HOURS PER WEEK: 8 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: REPRESENTING BUYERS AND SELLERS PURCHASING AND SELLING OF RESIDENTIAL HOMES AND CONDOS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Shaun Dolan'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

July 31, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Oceanside, NY

Current

July 15, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 12610 New Brittany Blvd, Fort Myers, FL 33907

CRD#: 13572

Fort Myers, FL

Past

June 9, 2015 - October 31, 2023

AEGIS CAPITAL CORP.

CRD#: 15007

MELVILLE, NY

Past

July 8, 2014 - March 16, 2017

RICHARD JAMES & ASSOCIATES, INC.

CRD#: 169131

SYOSSET, NY

Past

February 5, 2007 - June 9, 2015

J.D. NICHOLAS & ASSOCIATES, INC.

CRD#: 44791

SYOSSET, NY

Past

May 3, 2005 - January 10, 2007

PARTNERS CAPITAL SERVICES, INC.

RIA

CRD#: 127621

HAUPPAUGE, NY

Past

December 2, 2002 - February 2, 2007

AMERICAN CAPITAL PARTNERS, LLC

CRD#: 119249

WANTAGH, NY

Past

May 23, 2000 - December 3, 2002

TRIDENT PARTNERS LTD.

CRD#: 41258

WOODBURY, NY

Past

August 6, 1998 - June 7, 2000

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

October 28, 1996 - June 29, 1998

FOSTER JEFFRIES SECURITIES, LLC

CRD#: 30144

WESTBURY, NY

Past

March 17, 1995 - October 25, 1996

MATRIX SECURITIES CORPORATION

CRD#: 30991

GARDEN CITY, NY

Past

November 29, 1994 - February 28, 1995

JOSEPH ROBERTS & CO., INC.

CRD#: 15971

POMPANO BEACH, FL

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

IAR

New York
(7/31/2026)

New York
(8/3/2026)

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 66

Date: 7/29/2026

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/7/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/28/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/11/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/24/1999

General Securities 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

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 S. Dolan

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Shaun Dolan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AEGIS CAPITAL CORP.

RICHARD JAMES & ASSOCIATES, INC.

J.D. NICHOLAS & ASSOCIATES, INC.

PARTNERS CAPITAL SERVICES, INC.

AMERICAN CAPITAL PARTNERS, LLC

TRIDENT PARTNERS LTD.

FIRST MONTAUK SECURITIES CORP.

FOSTER JEFFRIES SECURITIES, LLC

MATRIX SECURITIES CORPORATION

JOSEPH ROBERTS & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/29/2026

Series 65

Date: 4/7/2005

Series 63

Date: 12/20/1994

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/28/1994

Series 4

Date: 5/11/2000

Series 24

Date: 9/24/1999

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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