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JG

James G. Gibbs

CETERA INVESTMENT ADVISERS LLC
Ashland, KY 41101
Some features on this profile are disabled
CRD#: 3169220
JG

Professional summary

James Gregory Gibbs, who also goes by Jim Gibbs, Jimmy Gibbs, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ashland, Kentucky and CETERA WEALTH SERVICES, LLC located in Ashland, Kentucky.

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 65, Series 63, SIE, Series 31, Series 7 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jim Gibbs | Jimmy Gibbs

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) AMERICAN MANDARIN RESTAURANT, 915 13TH STREET, ASHLAND, KY 41101. THE TYPE OF BUSINESS: BUILDING LEASE. - 50% OWNERSHIP - DUTIES: BUILDING UPKEEP-NONE DURING BUSINESS HOURS (2) CHECKERS LAUNDROMAT, 1001 13TH STREET, ASHLAND, KY 41101. THE TYPE OF BUSINESS: TANNING SALON AND LAUNDRY COIN OPERATED MACHINES. - 50% OWNERSHIP - WIFE OPERATES BUSINESS - REP HAS DAILY INPUT. (3) INSURANCE PRODUCTS - VARIOUS CARRIERS - 10 HRS MONTH DURING BUSINESS HRS. (4) ZTB ENTERPRISES LLC-SINCE 11/01/2006; 5048 BANBURY RD,ASHLAND KY;OWNER;0 HRS AMONTH;RENTAL PROPERTY: (5) NAME OF OTHER BUSINESS: SHANNCO LLC DBA BLUEGRASS INN ; INVESTMENT RELATED: NO ; ADDRESS: 5048 BANBURY RD, ASHLAND, KY 41101 ; NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 11/2006 ; POSITION/TITLE/RELATIONSHIP: PARTNER ; APX NUMBER OF HOURS PER WEEK: NONE ; APX NUMBER OF HOURS DURING TRADING HOURS: NONE ; BRIEF DESCRIPTION OF DUTIES: PARTNER ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gregory Gibbs'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 #1: 5048 Banbury Rd, Ashland, KY 41101
RIA
CRD#: 105644
Ashland, KY
Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5048 Banbury Rd, Ashland, KY 41101
BD
CRD#: 13572
Ashland, KY
Past

March 22, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

January 6, 2009 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
ASHLAND, KY
Past

January 6, 2009 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
ASHLAND, KY
Past

January 1, 2008 - January 27, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ASHLAND, KY
Past

January 1, 2008 - January 27, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ASHLAND, KY
Past

June 15, 2006 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
ASHLAND, KY
Past

May 19, 2006 - June 14, 2006

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
ASHLAND, KY
Past

May 19, 2006 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ASHLAND, KY
Past

November 16, 1999 - May 19, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
ASHLAND, KY
Past

January 29, 1999 - May 19, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
ASHLAND, KY

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
Florida
(1/29/2020)
RR
Indiana
(9/24/2021)
RR
Kentucky
(9/30/2019)
IAR
Kentucky
(6/29/2023)
RR
Ohio
(9/20/2019)
RR
West Virginia
(9/20/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/2/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/5/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 4/20/1999
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/28/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/28/2004
General Securities Sales Supervisor - Options Module Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Ashland, KY 41101

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