JG
James H. Gemmill
CETERA INVESTMENT ADVISERS LLC
Minnetonka, MN
Some features on this profile are disabled
CRD#: 4466028
JG
Professional summary
James Herbert Gemmill is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Minnetonka, Minnesota and CETERA WEALTH SERVICES, LLC located in Plymouth, Minnesota.
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 4 firms and has passed the Series 66, Series 63, 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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 3601 MINNESOTA DR STE 960; EDINA; MN; 55435; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/15/2003; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:GEMMILL FINANCIAL LLC; Yes; 3601 MINNESOTA DR STE 960; EDINA; MN; 55435; FINANCIAL SERVICES/DBA; PARTNER; 9/28/2016; 150; 130; SALE OF INSURANCE,SECURITIES & INVESTMENT PRODUCTS.|
CRS (Client Relationship Summary) - RIA
Click below to view James Herbert Gemmill'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 14613 Blackdahl Rd., Crosslake, MN 56442Office #3: 18200 45th Ave N Ste 100a, Plymouth, MN 55446Office #4: 3601 Minnesota Dr Ste 960, Edina, MN 55435RIA
CRD#: 105644
Minnetonka, MN
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 18200 45th Ave N Ste 100a, Plymouth, MN 55446Office #2: 3601 Minnesota Dr Ste 960, Edina, MN 55435BD
CRD#: 13572
Plymouth, MN
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 31, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
EDINA, MN
Past
January 15, 2003 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
EDINA, MN
Past
November 15, 2001 - January 24, 2003
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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
Arizona(6/9/2021)
RR
Florida(6/10/2021)
RR
Iowa(6/9/2021)
RR
Maryland(1/2/2025)
RR
Minnesota(6/9/2021)
IAR
Minnesota(6/29/2023)
RR
North Dakota(6/9/2021)
RR
South Carolina(1/2/2025)
RR
Texas(4/24/2023)
IAR
Texas(6/29/2023)
RR
Virginia(6/9/2021)
RR
Washington(6/9/2021)
RR
Wisconsin(6/9/2021)
Exams
State Security Law Exam
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
