James K. Varnum

CETERA INVESTMENT ADVISERS LLC

Troy, MI 48098

Some features on this profile are disabled

CRD#: 4476593

Professional summary

James Kevin Varnum is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Troy, Michigan and CETERA WEALTH SERVICES, LLC located in Troy, Michigan.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. James has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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. NAME OF OTHER BUSINESS: MADRIVERHOMESTEAD INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION NATURE OF BUSINESS: YOUTUBE CHANNEL START DATE: 10/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: CREATE AND UPLOAD CONTENT ABOUT OUR HOMESTEAD TO YOUTUBE; 2. NAME OF OTHER BUSINESS: MTF MANAGEMENT INC, DBA SENTIA WEALTH INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2025 POSITION/TITLE/RELATIONSHIP: ENROLLMENT & EDUCATION SPECIALIST APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: ENROLLMENT & EDUCATION SPECIALIST;

CRS (Client Relationship Summary) - RIA

Click below to view James Kevin Varnum'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

July 14, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1450 W. Long Lake Rd Suite 370, Troy, MI 48098

RIA

CRD#: 105644

Troy, MI

Current

July 11, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1450 West Long Lake Road Suite 370, Troy, MI 48098

CRD#: 17490

CINCINNATI, OH

Past

February 1, 2002 - June 30, 2003

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

CINCINNATI, OH

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

Ohio
(7/11/2025)

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Firm MonitoringMonitor not just your advisor but also their firm.

More Frequent AlertsGet updates every two weeks instead of monthly.

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.