James G. Mcgovern
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James George Mcgovern, who also goes by Jim Mcgovern, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2015 - January 31, 2017
CETERA INVESTMENT ADVISERS LLC
February 13, 2015 - January 31, 2017
CETERA INVESTMENT SERVICES LLC
October 11, 2011 - February 19, 2015
LPL FINANCIAL LLC
October 11, 2011 - February 19, 2015
LPL FINANCIAL LLC
April 15, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
July 10, 2007 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
May 27, 2003 - July 24, 2007
VISION INVESTMENT SERVICES, INC.
March 17, 1999 - January 10, 2003
BANC ONE SECURITIES CORPORATION
February 18, 1999 - January 10, 2003
BANC ONE SECURITIES CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
