JS
James J. Slawski
CETERA INVESTMENT ADVISERS LLC
WEST SPRINGIELD, MA 01089
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CRD#: 4746682
JS
Professional summary
James J Slawski, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Springield, Massachusetts and CETERA WEALTH SERVICES, LLC located in West Springfield, Massachusetts.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 4 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 7 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) JJS Financial~'NIR'~1111 Elm St, Ste 16A~West Springfield~MA~01089~Other~Owner/Sole Proprietor~1/1/2004~160hrs~130hrs~Operational/Marketing Name Only 2) James J Slawski CPA~'NIR'~1111 Elm St Ste 16A~WEST SPRINGFIELD~MA~01089~Tax Preparation/Accounting~Accountant/Bookkeeper~1/6/2004~200hrs~100hrs~CPA|
CRS (Client Relationship Summary) - RIA
Click below to view James J Slawski'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®
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1111 Elm St. Suite 16a, West Springield, MA 01089Office #2: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096RIA
CRD#: 105644
WEST SPRINGIELD, MA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1111 Elm Street Suite 16a, West Springfield, MA 01089BD
CRD#: 13572
WEST SPRINGFIELD, MA
Past
July 11, 2006 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
WEST SPRINGIELD, MA
Past
January 23, 2004 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WEST SPRINGFIELD, 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".
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
California(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
IAR
Massachusetts(9/5/2025)
RR
Minnesota(10/10/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Vermont(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644West Springield, MA 01089TRUST BUT VERIFY
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