James S. Dolan
Professional summary
James Shaun Dolan is a registered financial advisor currently at CETERA WEALTH SERVICES, LLC located in Fort Myers, Florida.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Shaun Dolan's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2026 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 12610 New Brittany Blvd, Fort Myers, FL 33907June 9, 2015 - October 31, 2023
AEGIS CAPITAL CORP.
July 8, 2014 - March 16, 2017
RICHARD JAMES & ASSOCIATES, INC.
February 5, 2007 - June 9, 2015
J.D. NICHOLAS & ASSOCIATES, INC.
May 3, 2005 - January 10, 2007
PARTNERS CAPITAL SERVICES, INC.
December 2, 2002 - February 2, 2007
AMERICAN CAPITAL PARTNERS, LLC
May 23, 2000 - December 3, 2002
TRIDENT PARTNERS LTD.
August 6, 1998 - June 7, 2000
FIRST MONTAUK SECURITIES CORP.
October 28, 1996 - June 29, 1998
FOSTER JEFFRIES SECURITIES, LLC
March 17, 1995 - October 25, 1996
MATRIX SECURITIES CORPORATION
November 29, 1994 - February 28, 1995
JOSEPH ROBERTS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 20 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
Company Information
CETERA WEALTH SERVICES, LLC
CRD#: 13572Fort Myers, FL 33907TRUST BUT VERIFY
Monitor James Dolan
Get automatic monthly alerts on:
