James Parker

CETERA INVESTMENT ADVISERS LLC

OXNARD, CA

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CRD#: 2681863

Professional summary

James Parker JR, who also goes by James Parker, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oxnard, California and CETERA ADVISORS LLC located in Oxnard, California.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 8 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 Parker

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: COLONIAL LIFE INVESTMENT RELATED: NO ADDRESS: COLUMBIA, SC NATURE OF BUSINESS: GROUP DISABILITY & CRITICAL CARE INSURANCE; BRIDGE HEALTH INSURANCE START DATE: 07/2013 APX NUMBER OF HOURS PER WEEK: 10 HRS/WEEK APX NUMBER OF HOURS DURING TRADING HOURS: 10 HRS/WEEK BRIEF DESCRIPTION OF DUTIES: SALES 2. NAME OF OTHER BUSINESS: JAMES PARKER JR.; INVESTMENT RELATED: NO; ADDRESS: 137 SHERLYN LANE SAPULPA OK 73044; NATURE OF BUSINESS: RENTAL REAL ESTATE; START DATE: 1987; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: PROPERTY MAINTENANCE AND GENERAL UPKEEP; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 3/2022 APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Parker JR'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

OXNARD, CA

Current

August 1, 2013 - Present

CETERA ADVISORS LLC

CRD#: 10299

OXNARD, CA

Past

August 1, 2013 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

August 23, 2012 - August 1, 2013

SORRENTO PACIFIC FINANCIAL, LLC

RIA

CRD#: 127787

OXNARD, CA

Past

July 31, 2009 - August 1, 2013

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

OXNARD, CA

Past

May 31, 2007 - July 16, 2012

PARTNERVEST ADVISORY SERVICES LLC

RIA

CRD#: 113621

OXNARD, CA

Past

May 31, 2007 - July 31, 2009

PARTNERVEST SECURITIES, INC.

CRD#: 104134

OXNARD, CA

Past

June 27, 2006 - April 10, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

CAMARILLO, CA

Past

June 27, 2006 - April 10, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

CAMARILLO, CA

Past

May 22, 2001 - August 1, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

OXNARD, CA

Past

April 27, 2001 - August 1, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

OXNARD, CA

Past

April 11, 1996 - April 30, 2001

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

Arizona
(9/5/2023)

California
(8/1/2013)

IAR

California
(3/21/2024)

Florida
(8/9/2022)

Missouri
(1/11/2018)

New Jersey
(8/12/2015)

New Mexico
(3/16/2021)

North Carolina
(5/6/2016)

Oklahoma
(8/1/2013)

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: 5/13/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/19/1996

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: 4/19/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/10/1996

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 Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Parker JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

SORRENTO PACIFIC FINANCIAL, LLC

SORRENTO PACIFIC FINANCIAL, LLC

PARTNERVEST ADVISORY SERVICES LLC

PARTNERVEST SECURITIES, INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/1996

Series 63

Date: 4/19/1996

SIE

Date: 10/1/2018

Series 31

Date: 4/19/1996

Series 7

Date: 4/10/1996

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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