JW
James A. Whisman
CETERA INVESTMENT ADVISERS LLC
WILMINGTON, DE
Some features on this profile are disabled
CRD#: 4472874
JW
Professional summary
James Arvil Whisman JR, CFP®, who also goes by James Arvil Whisman Jr., Jim Whisman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wilmington, Delaware and CETERA WEALTH SERVICES, LLC located in Wilmington, Delaware.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Arvil Whisman Jr. | Jim Whisman
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) CPA, I ADVISE MY TAX CLIENTS ON A RANGE OF BUSINESS AND PERSONAL ACTIVITIES AND FUNCTIONS, 10HRS/WEEKDAYS, SINCE 12/1973; (2) NAME OF OTHER BUSINESS: COLONIAL FINANCIAL & TAX SERVICES LLC; INVESTMENT RELATED: NO; ADDRESS: 700 DELEWARE STREET NEW CASTLE, DE 19720; NATURE OF BUSINESS: CPA PRACTICE; START DATE: 4/2021; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF TRADING HOURS PER WEEK: 4; POSITION/TITLE/RELATIONSHIP: OWNER; BRIEF DESCRIPTION OF DUTIES: TAXES PREPARATION AND PLANNING, BOOKKEEPING; (3) OWNS SERVERAL RENTAL PROPERTIES THOUGH BOTH LLC'S AND S-CORPORATIONS, RENT MANAGERS, INC., TAMARAC III, LLC, WOODMILL III, INC. MERCURY III LLC 5201 W. WOODMILL DRIVE, WILMINGTON DE 19808, 8HRS/WEEKDAYS, SINCE 9/1981; (4) NAME OF OTHER BUSINESS: WHARTON INVESTMENT CONSULTANTS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: ADVISORY BUSINESS, POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE, START DATE: 8/2012, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: IAR; (5) NAME OF OTHER BUSINESS:FIRST STATE NATIONAL PARK SERVICE; INVESTMENT RELATED: NO ; ADDRESS: 211 DELAWARE ST, NEW CASTLE DE 19720 ; NATURE OF BUSINESS: NOT FOR PROFIT ; START DATE: 07/2019 ; POSITION/TITLE/RELATIONSHIP: EDUCATOR ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: PROVIDE NATURE LESSONS ABOUT NATIONAL PARK SERVICE RESOURCES IN DELAWARE ; (6) NAME OF OTHER BUSINESS: KALMAR NYCKLE FOUNDATION ; INVESTMENT RELATED: NO ; ADDRESS: 1124 EAST 7TH ST, WILMINGTON DE 19801 ; NATURE OF BUSINESS: NOT FOR PROFIT ; START DATE: 07/2019 ; POSITION/TITLE/RELATIONSHIP: EDUCATOR ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: PROVIDE HISOTRY LESSONS ABOUT SWEDISH SETTLEMENTS IN DELAWARE VALLEY ; (7) NAME OF OTHER BUSINESS: CITY OF NEW CASTLE INVESTMENT RELATED: NO, ADDRESS: 220 DELAWARE STREET, NEW CASTLE, DE 19720, NATURE OF BUSINESS: CIVIC, START DATE:04/2024, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: REPORT TO THE BOARD, FINANCIAL RESULTS, REPORTED AT MONTHLY, AT PUBLIC MEETING;
CRS (Client Relationship Summary) - RIA
Click below to view James Arvil Whisman JR'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: 2006
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WILMINGTON, DE
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
WILMINGTON, DE
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WILMINGTON, DE
Past
May 25, 2004 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
NEW CASTLE, DE
Past
May 3, 2004 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
NEW CASTLE, DE
Past
December 17, 2003 - May 11, 2004
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
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
Delaware(9/3/2013)
IAR
Delaware(6/29/2023)
RR
Florida(9/3/2013)
RR
Maryland(9/3/2013)
RR
North Carolina(11/28/2017)
RR
Pennsylvania(9/3/2013)
RR
Virginia(11/10/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
