James A. Atwood

CETERA INVESTMENT ADVISERS LLC

SAN DIEGO, CA 92101

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CRD#: 4321249

Professional summary

James A Atwood, who also goes by James A Atwood, James Alan Atwood, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA ADVISORS LLC located in San Diego, California.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24, Series 4, Series 23, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James A Atwood | James Alan Atwood

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.

Representative is an employee of Forge Global, Inc. the parent company of Forge Securities LLC. As such, in addition to Forge Securities LLC, representative may also commit some nominal time to functions for Forge Global, Inc. and other Forge Global, Inc. subsidiaries.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James A Atwood'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

October 13, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101

RIA

CRD#: 105644

SAN DIEGO, CA

Current

October 13, 2025 - Present

CETERA ADVISORS LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101

CRD#: 10299

SAN DIEGO, CA

Past

April 23, 2025 - October 8, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

FORT MILL, SC

Past

December 8, 2023 - October 8, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

LA JOLLA, CA

Past

December 8, 2023 - October 8, 2025

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

December 11, 2022 - July 21, 2023

FORGE GLOBAL ADVISORS LLC

RIA

CRD#: 284722

SAN FRANCISCO, CA

Past

May 28, 2021 - July 21, 2023

FORGE SECURITIES LLC

CRD#: 134596

SAN FRANCISCO, CA

Past

January 3, 2012 - May 25, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN DIEGO, CA

Past

January 3, 2012 - May 25, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN DIEGO, CA

Past

April 26, 2011 - November 16, 2011

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

SAN DIEGO, CA

Past

April 26, 2011 - November 16, 2011

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

SAN DIEGO, CA

Past

October 23, 2009 - December 6, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BONSALL, CA

Past

October 23, 2009 - December 6, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BONSALL, CA

Past

March 5, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN DIEGO, CA

Past

May 4, 2005 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

SAN DIEGO, CA

Past

February 22, 2001 - April 26, 2005

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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
(10/13/2025)

IAR

California
(10/13/2025)

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 65

Date: 6/28/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/28/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 12/8/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 10/25/2011

Registered Options Principal Examination

Principal/Supervisory Exam

Series 23

Date: 9/24/2008

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 10

Date: 11/5/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/17/2004

General Securities Sales Supervisor - Options Module 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
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.

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Advisor Monitoring

Firm Stability Insights

James A. Atwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James A Atwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

LPL ENTERPRISE, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FORGE GLOBAL ADVISORS LLC

FORGE SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/28/2007

Series 63

Date: 2/28/2001

Series 99TO

Date: 12/8/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/21/2001

Series 24

Date: 1/2/2023

Series 4

Date: 10/25/2011

Series 23

Date: 9/24/2008

Series 10

Date: 11/5/2004

Series 9

Date: 3/17/2004

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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