MJ
Miles L. James
CETERA INVESTMENT ADVISERS LLC
WILLOW SPRINGS, MO 65793
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CRD#: 2858981
MJ
Professional summary
Miles Lane James is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Willow Springs, Missouri and CETERA WEALTH SERVICES, LLC located in Willow Springs, Missouri.
Miles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Miles has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE ; START DATE: 12/2019 ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE ; 2) NAME OF OTHER BUSINESS: ELEVEN POINT FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 5/2019 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR SECURITIES BUSINESS; 3) NAME OF OTHER BUSINESS: MILES JAMES SOLE PROPRIETOR; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: CATTLE SALES; START DATE: 3/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 3-5; APX NUMBER OF HOURS DURING TRADING HOURS: 3-5; BRIEF DESCRIPTION OF DUTIES: CATTLE PRODUCTION AND SALES;
CRS (Client Relationship Summary) - RIA
Click below to view Miles Lane James'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 110 Bear Drive, Suite 1, Willow Springs, MO 65793RIA
CRD#: 105644
WILLOW SPRINGS, MO
Current
May 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 110 Bear Drive, Suite 1, Willow Springs, MO 65793BD
CRD#: 13572
Willow Springs, MO
Past
May 21, 2019 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Willow Springs, MO
Past
December 11, 2015 - June 3, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
MOUNTAIN VIEW, MO
Past
October 15, 2015 - June 3, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MOUNTAIN VIEW, MO
Past
January 21, 2014 - October 13, 2015
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
HOUSTON, MO
Past
September 23, 1999 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
HOUSTON, MO
Past
July 1, 1997 - October 13, 2015
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
HOUSTON, MO
Past
March 14, 1997 - July 3, 1997
FIRST SPRINGFIELD SECURITIES, INC.
BD
CRD#: 25099
SPRINGFIELD, MO
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
RR
Arkansas(8/25/2023)
RR
Florida(5/22/2019)
RR
Illinois(1/10/2024)
RR
Indiana(4/3/2023)
RR
Iowa(5/23/2019)
RR
Louisiana(6/5/2019)
RR
Mississippi(5/22/2024)
RR
Missouri(5/23/2019)
IAR
Missouri(6/29/2023)
RR
Ohio(12/15/2023)
RR
Pennsylvania(6/3/2019)
RR
South Carolina(5/30/2019)
RR
Virginia(1/5/2023)
RR
Wyoming(6/4/2019)
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
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 INVESTMENT ADVISERS LLC
CRD#: 105644Willow Springs, MO 65793TRUST BUT VERIFY
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