James C. Deminno

CETERA INVESTMENT ADVISERS LLC

Boca Raton, FL

Some features on this profile are disabled

CRD#: 4595548

Professional summary

James C Deminno, who also goes by James Deminno, Jim C Deminno, Jim Deminno, James D Eminno, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Boca Raton, Florida and CETERA WEALTH SERVICES, LLC located in Boca Raton, Florida.

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 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Deminno | Jim C Deminno | Jim Deminno | James D Eminno

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)DEMINNO HOLDINGS INC POSITION: Shareholder NATURE: Rental Property Ownership INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/21/2018 ADDRESS: 337 N Main St, Suite 13, New City NY 10956, United States DESCRIPTION: Manage 2 condominiums that are used for housing The DeMinno CPA Firm PC. 2)THE DEMINNO CPA FIRM PC POSITION: Shareholder NATURE: Tax Preparation, Accounting services, Tax Planning, Consulting INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 02/08/2000 ADDRESS: 337 N Main St, Suite 13, New City NY 10956, United States DESCRIPTION: Servicing 2,000 clients. We provide Tax Planning, Tax Preparation (Income tax/Payroll tax/Sales tax), Accounting Services (Quickbooks bookkeeping), Consulting and Advisory services. We will be using this entity to market my Avantax business to our existing clientele and future clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James C Deminno'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 337 N Main St Suite 13, New City, NY 10956

RIA

CRD#: 105644

Boca Raton, FL

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #2: 337 N Main Street Suite 13, New City, NY 10956

CRD#: 13572

Boca Raton, FL

Past

January 9, 2023 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

New City, NY

Past

January 9, 2023 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

New City, NY

Past

March 27, 2018 - January 18, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BOCA RATON, FL

Past

May 24, 2010 - January 18, 2023

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

NEW CITY, NY

Past

November 12, 2009 - May 27, 2010

OSAIC WEALTH, INC.

RIA

CRD#: 23131

NEW CITY, NY

Past

July 10, 2009 - May 27, 2010

OSAIC WEALTH, INC.

CRD#: 23131

NEW CITY, NY

Past

October 24, 2005 - July 15, 2009

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

NEW CITY, NY

Past

October 22, 2002 - October 24, 2005

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

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

Arizona
(9/5/2025)

Connecticut
(9/5/2025)

Delaware
(9/5/2025)

Florida
(9/5/2025)

IAR

Florida
(9/25/2025)

New Jersey
(9/5/2025)

New York
(9/5/2025)

IAR

New York
(9/5/2025)

North Carolina
(9/5/2025)

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

Series 63

Date: 10/21/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/1/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/21/2002

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

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)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James C. Deminno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James C Deminno's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

CETERA FINANCIAL SPECIALISTS LLC

C. J. M. PLANNING CORP.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/21/2002

SIE

Date: 10/1/2018

Series 7

Date: 9/1/2005

Series 6

Date: 10/21/2002

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

Similar Advisors