James M. Mcdonnell

CETERA INVESTMENT ADVISERS LLC

FOXBOROUGH, MA 02035

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CRD#: 4628973

Professional summary

James Michael Mcdonnell, CFP®, CLU®, who also goes by James M Mcdonnell, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Foxborough, Massachusetts and CETERA WEALTH SERVICES, LLC located in Foxborough, Massachusetts.

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 7 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 M Mcdonnell

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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: MCDONNELL WEALTH INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2019 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OWNER - PROVIDE FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: 56 CENTER AVE, MIDDLETOWN, RI 02842; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: BEACH PROPERTY RENTAL - USES AIRBNB AND VRBO TO LIST HOME;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Mcdonnell'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®

CFP^®

Certified Financial Planner

Start date: 2011

CLU^®

Chartered Life Underwriter

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 16 Chestnut St Suite 111, Foxborough, MA 02035

RIA

CRD#: 105644

FOXBOROUGH, MA

Current

October 31, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 16 Chestnut St Suite 111, Foxborough, MA 02035

CRD#: 13572

Foxborough, MA

Past

November 13, 2019 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

December 16, 2013 - November 18, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

W. ROXBURY, MA

Past

December 9, 2013 - November 18, 2019

LPL FINANCIAL LLC

CRD#: 6413

W. ROXBURY, MA

Past

October 4, 2011 - December 12, 2013

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

FOXBOROUGH, MA

Past

September 23, 2011 - December 12, 2013

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

FOXBOROUGH, MA

Past

March 25, 2009 - September 28, 2011

OSAIC WEALTH, INC.

RIA

CRD#: 23131

WALTHAM, MA

Past

March 13, 2009 - September 28, 2011

OSAIC WEALTH, INC.

CRD#: 23131

WALTHAM, MA

Past

September 13, 2006 - March 26, 2009

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

WALTHAM, MA

Past

February 24, 2003 - March 26, 2009

NYLIFE SECURITIES LLC

CRD#: 5167

WALTHAM, MA

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

Colorado
(10/31/2019)

District of Columbia
(3/10/2023)

Florida
(3/5/2020)

Indiana
(10/31/2019)

Maine
(10/31/2019)

Massachusetts
(10/31/2019)

IAR

Massachusetts
(6/29/2023)

New Hampshire
(6/13/2025)

New Jersey
(10/31/2019)

New York
(10/31/2019)

Rhode Island
(10/31/2019)

Texas
(3/24/2025)

IAR

Texas
(3/24/2025)

Vermont
(2/1/2023)

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

IAR

Series 65

Date: 8/21/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/20/2003

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: 10/2/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/21/2003

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)

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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)

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.

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Firm Stability Insights

James M. Mcdonnell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Mcdonnell's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/21/2006

Series 63

Date: 3/20/2003

SIE

Date: 10/1/2018

Series 7

Date: 10/2/2008

Series 6

Date: 2/21/2003

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

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