Guy L. James

CETERA INVESTMENT ADVISERS

YOAKUM, TX 77995

CRD#: 3174863

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Professional summary

Guy Lamar James is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Yoakum, Texas and CETERA INVESTMENT SERVICES LLC located in Yoakum, Texas.

Guy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Guy has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guy Lamar James'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 15, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 406 W Grand Ave, Yoakum, TX 77995

RIA

CRD#: 105644

YOAKUM, TX

Current

June 15, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 406 W Grand Ave, Yoakum, TX 77995

CRD#: 15340

YOAKUM, TX

Past

June 24, 2024 - June 24, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

MOULTON, TX

Past

September 7, 2022 - September 23, 2024

ICA GROUP WEALTH MANAGEMENT, LLC

RIA

CRD#: 311419

Yoakum, TX

Past

November 29, 2017 - November 30, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

MOULTON, TX

Past

November 29, 2017 - June 24, 2026

LPL FINANCIAL LLC

CRD#: 6413

MOULTON, TX

Past

October 1, 2014 - November 29, 2017

INVESTMENT CENTERS OF AMERICA, INC.

RIA

CRD#: 16443

Yoakum, TX

Past

October 1, 2014 - November 29, 2017

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

Yoakum, TX

Past

March 14, 2011 - October 14, 2014

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

YOAKUM, TX

Past

August 20, 2007 - December 2, 2010

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

YOAKUM, TX

Past

August 29, 2000 - October 14, 2014

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

YOAKUM, TX

Past

January 19, 1999 - August 29, 2000

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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
(6/15/2026)

Colorado
(6/15/2026)

Florida
(6/15/2026)

Hawaii
(6/15/2026)

Iowa
(6/15/2026)

Mississippi
(6/15/2026)

New Mexico
(6/15/2026)

Oklahoma
(6/15/2026)

South Carolina
(6/15/2026)

Tennessee
(6/15/2026)

Texas
(6/15/2026)

IAR

Texas
(6/15/2026)

Virginia
(6/15/2026)

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: 8/16/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/14/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/12/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/14/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

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

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.

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Advisor Monitoring

Firm Stability Insights

Guy L. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guy Lamar James's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

ICA GROUP WEALTH MANAGEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVESTMENT CENTERS OF AMERICA, INC.

INVESTMENT CENTERS OF AMERICA, INC.

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/16/2007

Series 63

Date: 1/14/1999

SIE

Date: 10/1/2018

Series 7

Date: 9/12/2000

Series 6

Date: 1/14/1999

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

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