JL
James R. Lapiedra
CETERA INVESTMENT ADVISERS LLC
STATEN ISLAND, NY 10309
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CRD#: 4271278
JL
Professional summary
James R Lapiedra, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Staten Island, New York and CETERA ADVISORS LLC located in Staten Island, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. James has worked at 5 firms and has passed the Series 66, SIE and Series 7 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.
1.) POLICE ORGANIZATION PROVIDING PEER ASSISTANCE BOARD MEMBER NON-PROFIT ORGANIZATION START:11/1/2006 2.) FRCT, LLC AGENT/REPRSENTATIVE "DOING BUSINESS AS" (DBA) START:8/15/2009 3.) GUIDED PROFESSIONAL SOLUTIONS PARTNER "DOING BUSINESS AS" (DBA) START:11/17/2009 4.) ID 360 LLC; PRESIDENT & CEO; CONSULTING; START DATE 08/29/2012; 60 HOURS PER MONTH. 5.) INSURANCE; AGENT; INSURANCE; START DATE 03/01/2014; 20 HOURS PER MONTH. 6.) PIEDRA RIVES CORP; PRESIDENT; HOLDING COMPANY OR TAX/BILL PAYMENT ENTITY; START DATE: 07/20/2018; 8 HOURS PER MONTH. 7.) PIEDRA RIVES CORP; PRESIDENT; HOLDING COMPANY OR TAX/BILL PAYMENT ENTITY; START DATE: 06/30/2018 8 HOURS PER MONTH. 8.) CYBER COMPLIANT; PARTNER; CONSULTING; START DATE 04/21/2021; 8 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view James R Lapiedra'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®
CFP®
Start date: 2011
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2420 Arthur Kill Road, Suite 300, Staten Island, NY 10309RIA
CRD#: 105644
STATEN ISLAND, NY
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1000 South Ave Suite 103, Staten Island, NY 10314BD
CRD#: 10299
Staten Island, NY
Past
July 12, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
STATEN ISLAND, NY
Past
August 21, 2009 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
STATEN ISLAND, NY
Past
December 23, 2008 - September 1, 2009
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
STATEN ISLAND, NY
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
California(1/2/2025)
RR
Connecticut(4/29/2024)
RR
Florida(9/8/2022)
RR
Georgia(3/15/2023)
RR
Hawaii(9/8/2022)
RR
Massachusetts(9/8/2022)
RR
New Jersey(9/8/2022)
IAR
New York(3/31/2021)
RR
New York(9/8/2022)
RR
North Carolina(1/2/2025)
RR
Pennsylvania(9/8/2022)
RR
South Carolina(9/8/2022)
Exams
State Security Law 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.
