JC
James P. Cunningham
CETERA INVESTMENT ADVISERS LLC
RAPID CITY, SD 57701
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CRD#: 3038854
JC
Professional summary
James Paul Cunningham, who also goes by Jim Cunningham, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rapid City, South Dakota and CETERA WEALTH SERVICES, LLC located in Rapid City, South Dakota.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. James has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Cunningham
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: RAPID CITY STEVENS HIGH SCHOOL QUARTERBACK CLUB; INVESTMENT RELATED: NO; ADDRESS: RAPID CITY, SD 57702; NATURE OF BUSINESS: HIGH SCHOOL QUARTERBACK CLUB; START DATE: 01/2020; POSITION/TITLE/RELATIONSHIP: PRESIDENT AND INVESTMENT COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: OVERSEE THE ACTIVITIES OF THE SHSQBC; 2. NAME OF OTHER BUSINESS: JAREJ FINANCIAL CORPORATION; INVESTMENT RELATED: Yes; ADDRESS: RAPID CITY, SD 57702; NATURE OF BUSINESS: S-CORP FOR LEGAL, TAX, MARKETING, REVENUE, EXPENSES; START DATE: 05/2008; POSITION/TITLE/RELATIONSHIP: PRESIDENT AND DIRECTOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: S-CORP FOR LEGAL, TAX, MARKETING, REVENUE, EXPENSES; 3. NAME OF OTHER BUSINESS: POINT WEALTH ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/2025; POSITION/TITLE/RELATIONSHIP: PARTNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: PARTNERING WITH POINT WEALTH ADVISORS AS A PRODUCING ADVISOR; 4. NAME OF OTHER BUSINESS: MAJ LLP; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MARKETING AND LEGAL REQUIREMENTS; START DATE: 07/2025; POSITION/TITLE/RELATIONSHIP: PARTNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PARTNER WITH BROADHEAD LLC TO MARKET POINT WEALTH ADVISORS;
CRS (Client Relationship Summary) - RIA
Click below to view James Paul Cunningham'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
July 15, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 201 Main St Ste 201, Rapid City, SD 57701RIA
CRD#: 105644
RAPID CITY, SD
Current
July 15, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 201 Main St Ste 201, Rapid City, SD 57701BD
CRD#: 13572
Rapid City, SD
Past
December 13, 2007 - July 18, 2025
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Rapid City, SD
Past
December 11, 2007 - July 18, 2025
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Rapid City, SD
Past
December 13, 2000 - May 3, 2005
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
October 8, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
July 12, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
July 8, 1998 - July 12, 1999
ARK FUNDS DISTRIBUTORS, LLC
BD
CRD#: 17685
PORTLAND, ME
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
Alaska(7/15/2025)
RR
Arizona(7/15/2025)
RR
California(7/15/2025)
RR
Colorado(7/15/2025)
RR
Florida(7/15/2025)
RR
Idaho(10/23/2025)
RR
Indiana(7/15/2025)
RR
Iowa(7/15/2025)
RR
Kansas(7/15/2025)
RR
Maryland(7/15/2025)
RR
Minnesota(7/15/2025)
RR
Nevada(7/15/2025)
RR
New Mexico(7/15/2025)
RR
North Dakota(7/15/2025)
RR
Pennsylvania(7/15/2025)
RR
South Dakota(7/15/2025)
IAR
South Dakota(7/15/2025)
RR
Texas(7/15/2025)
IAR
Texas(7/15/2025)
RR
Utah(7/15/2025)
RR
Washington(7/15/2025)
RR
Wisconsin(7/15/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product 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#: 105644Rapid City, SD 57701TRUST BUT VERIFY
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