James R. Welch

CETERA INVESTMENT ADVISERS LLC

BELLEVILLE, IL 62220

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CRD#: 2659166

Professional summary

James Ronald Welch, who also goes by James R Welch, Jim Welch, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Belleville, Illinois and CETERA INVESTMENT SERVICES LLC located in Freeburg, Illinois.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James R Welch | Jim Welch

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ronald Welch'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

September 14, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 210 East Washington St, Belleville, IL 62220

RIA

CRD#: 105644

BELLEVILLE, IL

Current

September 14, 2020 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 202 South State St, Freeburg, IL 62243Office #2: 210 East Washington St, Belleville, IL 62220

CRD#: 15340

Freeburg, IL

Past

December 16, 2019 - September 16, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SWANSEA, IL

Past

December 16, 2019 - September 16, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

SWANSEA, IL

Past

October 9, 2018 - December 13, 2019

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

Webster Groves, MO

Past

October 9, 2018 - December 13, 2019

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Webster Groves, MO

Past

February 14, 2013 - October 2, 2018

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

ST. LOUIS, MO

Past

February 14, 2013 - October 2, 2018

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

ST. LOUIS, MO

Past

December 13, 2010 - June 3, 2011

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

ST. LOUIS, MO

Past

December 13, 2010 - June 3, 2011

FIFTH THIRD SECURITIES, INC.

CRD#: 628

ST. LOUIS, MO

Past

June 3, 2010 - September 21, 2010

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

ARNOLD, MO

Past

June 3, 2010 - September 21, 2010

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

ARNOLD, MO

Past

November 13, 2009 - May 19, 2010

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

EDWARDSVILLE, IL

Past

November 13, 2009 - May 19, 2010

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

EDWARDSVILLE, IL

Past

July 13, 2007 - November 13, 2009

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

ST. LOUIS, MO

Past

July 13, 2007 - November 13, 2009

NATCITY INVESTMENTS, INC.

CRD#: 17490

ST. LOUIS, MO

Past

January 11, 2006 - July 5, 2007

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

ALTON, IL

Past

December 1, 2001 - July 5, 2007

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

ALTON, IL

Past

January 3, 2000 - December 1, 2001

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Past

January 20, 1998 - January 3, 2000

MERCANTILE INVESTMENT SERVICES, INC.

CRD#: 19908

ST. LOUIS, MO

Past

November 27, 1996 - December 1, 1997

MERCANTILE INVESTMENT SERVICES, INC.

CRD#: 19908

ST. LOUIS, MO

Past

October 25, 1995 - June 28, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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
(10/14/2021)

Illinois
(9/14/2020)

IAR

Illinois
(3/13/2023)

Missouri
(9/14/2020)

IAR

Missouri
(9/14/2020)

Texas
(7/28/2022)

IAR

Texas
(7/28/2022)

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: 11/13/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/6/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/24/1995

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)

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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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Firm Stability Insights

James R. Welch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ronald Welch's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

FIRSTAR INVESTMENT SERVICES,INC.

MERCANTILE INVESTMENT SERVICES, INC.

MERCANTILE INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/1995

Series 63

Date: 11/1/1995

SIE

Date: 10/1/2018

Series 31

Date: 11/6/1995

Series 7

Date: 10/24/1995

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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