JH
James A. Hayes
CETERA INVESTMENT ADVISERS LLC
TURLOCK, CA 95380
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CRD#: 2845387
JH
Professional summary
James Arthur Hayes is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Turlock, California and CETERA FINANCIAL SPECIALISTS LLC located in Lodi, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) HAYES TAX & INVESTMENT NETWORK; DBA NAME FOR INVESTMENT PRACTICE - INV REL; TURLOCK, CA; TAX & INVESTMENT BUSINESS; OWNER; SINCE 03/2013; 10-80 HRS/MONTH; 0-40 HRS/MONTH DURING SECURITIES TRADING HOURS: 2) COLLECTS NEW AND RENEWAL COMMISSIONS FOR MEDICARE SUPPLEMENTS THROUGH STERLING AND UNITED HEALTH CARE: 3) HEALTH INSURANCE SALES, NON-INVESTMENT RELATED, SAME ADDRESS AS REGISTERED LOCATION, START DATE 01/30/2014 4)GENWORTH LIFE & ANNUITY AND GENWORTH LIFE INSURANCE, INVEST REL, SAME AS REGISTERED ADDRESS, FIXED INSURANCE AND ANNUITY RENEWAL PAYMENTS, START 01/2004, 0HRS/WK, RECEIVES FIXED INSURANCE RENEWAL PAYMENTS. 5) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE:01/2022, INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS HEALTH AND GROUP LIFE 6) NAME OF OTHER BUSINESS: SALVATION ARMY, INVESTMENT RELATED: NO, ADDRESS: 893 LANDER AVE, TURLOCK, CA 95380, NATURE OF BUSINESS: NON-PROFIT, START DATE:08/2024, POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER, LESS THAN ONE HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PLAN FUND RAISER TO PROVIDE SUMMER SPORTS FOR KIDS;
CRS (Client Relationship Summary) - RIA
Click below to view James Arthur Hayes's 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®
NoneExperience
Current
April 11, 2003 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5701-b East Ave, Turlock, CA 95380Office #2: 312a S. Crescent Ave, Lodi, CA 95240RIA
CRD#: 105644
TURLOCK, CA
Current
January 1, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 312a S. Crescent Ave, Lodi, CA 95240BD
CRD#: 10358
Lodi, CA
Past
February 5, 1997 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
California(4/11/2003)
RR
California(1/1/2004)
RR
Idaho(3/26/2019)
RR
Kentucky(4/5/2013)
RR
Oregon(3/16/2016)
RR
South Dakota(4/18/2019)
RR
Tennessee(1/2/2021)
RR
Texas(1/2/2021)
IAR
Texas(2/27/2023)
RR
Utah(10/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Turlock, CA 95380TRUST BUT VERIFY
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