JE
Jimmy D. Epley
CETERA INVESTMENT ADVISERS LLC
SCHAUMBURG, IL 60173-2096
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CRD#: 4487842
JE
Professional summary
Jimmy D Epley, who also goes by Jimmy D Epley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA WEALTH SERVICES, LLC located in Las Vegas, Nevada.
Jimmy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Jimmy has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jimmy D Epley
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: JD'S WEALTH MANAGEMENT GROUP, LLC DBA JD'S TAX-SMART WEALTH MANAGEMENT; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MARKETING; START DATE: 06/2020; POSITION/TITLE/RELATIONSHIP: MANAGER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR MARKETING PURPOSES, OVERSEE TAX PREPARATION BUSINESS; 2) ACADEMY FOR LEARNING DBA APPLIED SCHOLASTICS ACADEMY LAS VEGAS POSITION: Vice-President NATURE: This is a non-profit private school. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/05/2021 ADDRESS: 7550 W. Alexander Road, Las Vegas NV 89129, DESCRIPTION: I as the Vice-President attend bi-monthly board meetings to help layout the structure and operation of the school. I do not receive compensation for this activity. I am not a signer on any accounts for this activity. 3) PINNACLE FINANCIAL SERVICES; POSITION: Licensed Medicare Agent NATURE: Advise and sell on Medicare Advantage and Medicare Supplemental Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 07/29/2021 ADDRESS: 65 W Street Rd, St. A-101, Warminster PA 18974, DESCRIPTION: Meeting with current investment clients to advise on their medicare benefits 4) NEVADA SOCIETY OF ENROLLED AGENTS POSITION: President NATURE: Education Society for Enrolled Agents INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 4 START DATE: 09/01/2021 ADDRESS: 8440 W. Lake Mead Blvd, Ste 100, Las Vegas NV 89128, DESCRIPTION: Preside over the education meetings and attend quarterly board meetings 5) RAINBOW GARDENS WATER USERS ASSOCIATION POSITION: Secretary NATURE: Manage the use of the well water for the association. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/28/2021 ADDRESS: 5710 N Rainbow Blvd, Las Vegas NV 89130, United States DESCRIPTION: I take the minutes of the meetings as the secretary.
CRS (Client Relationship Summary) - RIA
Click below to view Jimmy D Epley'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096Office #2: 7040 Laredo Street Suite B, Las Vegas, NV 89117RIA
CRD#: 105644
SCHAUMBURG, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8440 W. Lake Mead Blvd Suite 100 Ste 100, Las Vegas, NV 89128BD
CRD#: 13572
Las Vegas, NV
Past
September 22, 2015 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Las Vegas, NV
Past
September 16, 2015 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Las Vegas, NV
Past
January 6, 2012 - September 28, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
LAS VEGAS, NV
Past
January 6, 2012 - September 28, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
LAS VEGAS, NV
Past
December 6, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
LAS VEGAS, NV
Past
December 5, 2011 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
LAS VEGAS, NV
Past
August 18, 2004 - December 2, 2011
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
LAS VEGAS, NV
Past
April 18, 2002 - December 2, 2011
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
LAS VEGAS, NV
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(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/18/2025)
RR
Florida(9/5/2025)
RR
Minnesota(9/18/2025)
RR
Missouri(9/5/2025)
RR
Montana(9/5/2025)
RR
Nevada(9/5/2025)
IAR
Nevada(9/5/2025)
RR
New Mexico(9/18/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Oregon(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/18/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
