James Turnbull

CETERA INVESTMENT ADVISERS LLC

RIVERTON, UT

Some features on this profile are disabled

CRD#: 2957309

Professional summary

James Turnbull IV, who also goes by James Turnbull, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Riverton, Utah and CETERA WEALTH SERVICES, LLC located in Hawthorne, Nevada.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. James has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, Series 79TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 53, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Turnbull

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: PEAK FINANCIAL NETWORK SOLUTIONS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 04/2021 POSITION/TITLE/RELATIONSHIP: OSJ MANAGER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: EXECUTION OF RISK AND COMPLIANCE FUNCTIONS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Turnbull IV'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 895 E Street, Hawthorne, NV 89415Office #3: 114 W Winchester Street, Suite 100, Murray, UT 84107

RIA

CRD#: 105644

RIVERTON, UT

Current

April 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 895 E Street, Hawthorne, NV 89415Office #2: 114 W Winchester Street, Suite 100, Murray, UT 84107

CRD#: 13572

HAWTHORNE, NV

Past

April 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Boise, ID

Past

May 30, 2012 - April 28, 2021

MORGAN STANLEY

RIA

CRD#: 149777

SOUTH JORDAN, UT

Past

June 1, 2009 - April 28, 2021

MORGAN STANLEY

CRD#: 149777

SOUTH JORDAN, UT

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SOUTH JORDAN, UT

Past

March 8, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

WEST VALLEY CITY, UT

Past

April 19, 2004 - January 9, 2007

PERSHING LLC

CRD#: 7560

LOS ANGELES, CA

Past

November 5, 2003 - March 23, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 1, 2000 - October 9, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 13, 1999 - November 1, 2000

MORGAN STANLEY DEAN WITTER ONLINE INC.

CRD#: 34925

SAN FRANCISCO, CA

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

California
(4/9/2021)

Nevada
(4/9/2021)

IAR

Nevada
(11/22/2024)

Texas
(11/20/2024)

IAR

Texas
(11/20/2024)

Utah
(4/9/2021)

IAR

Utah
(6/29/2023)

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 66

Date: 5/29/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/27/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/31/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/12/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 53

Date: 8/25/2016

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/23/2014

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/29/2013

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James Turnbull

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Turnbull IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

PERSHING LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DEAN WITTER ONLINE INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/29/2012

Series 63

Date: 7/27/1999

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 5/31/2013

Series 7

Date: 7/12/1999

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 53

Date: 8/25/2016

Series 24

Date: 5/23/2014

Series 4

Date: 8/29/2013

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

Similar Advisors