James C. Duncan

CETERA INVESTMENT ADVISERS LLC

Atlanta, GA 30339

Some features on this profile are disabled

CRD#: 4716295

Professional summary

James Charles Duncan, who also goes by Jimmy Charles Duncan, Jimmy Duncan, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Atlanta, Georgia and CETERA WEALTH SERVICES, LLC located in Atlanta, Georgia.

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 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jimmy Charles Duncan | Jimmy Duncan

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: FAMILY ESTATE ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: ESTATE START DATE: 06/2020 POSITION/TITLE/RELATIONSHIP: EXECUTOR ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: MANAGE THE PROCESS OF DISTRIBUTING ESTATE PER WILL ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Charles Duncan'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

March 23, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339

RIA

CRD#: 105644

Atlanta, GA

Current

September 29, 2017 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339

CRD#: 13572

Atlanta, GA

Current

September 29, 2017 - Present

CETERA ADVISORS LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339

CRD#: 10299

Atlanta, GA

Current

October 19, 2017 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339

CRD#: 15340

Atlanta, GA

Current

October 19, 2017 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339

CRD#: 10358

Atlanta, GA

Past

October 19, 2017 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

ATLANTA, GA

Past

October 19, 2017 - September 8, 2022

LPL FINANCIAL LLC

CRD#: 6413

MARIETTA, GA

Past

November 15, 2011 - August 20, 2014

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

ATLANTA, GA

Past

May 26, 2010 - August 20, 2014

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 14, 2010 - August 20, 2014

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

May 25, 2004 - August 20, 2014

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

November 25, 2003 - May 6, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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

Georgia
(9/29/2017)

IAR

Georgia
(3/23/2023)

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 66

Date: 11/11/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/9/2004

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: 11/24/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/21/2006

General Securities Principal 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

Robert Busby

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Atlanta, GA

Tyrane Perry

J.P. MORGAN SECURITIES LLC

IAR

Atlanta, GA

Alexander Paslay

KESTRA ADVISORY SERVICES, LLC

IAR

Woodstock, GA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James C. Duncan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Charles Duncan's CRS (Customer Relationship Summary).

Certified licenses