James C. Mcconnell

CETERA INVESTMENT ADVISERS LLC

MURRAY, KY 42071

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CRD#: 4969560

Professional summary

James Clayton Mcconnell, who also goes by James Clayton Mc Connell, Clay Mcconnell, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Murray, Kentucky and CETERA INVESTMENT SERVICES LLC located in Murray, Kentucky.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. James has worked at 8 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 Clayton Mc Connell | Clay Mcconnell

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. BOARD MEMBER OF JU KEVIL FOUNDATION; PROVIDS EDUCATION AND JOB TRAINING SKILLS FOR MENTALLY AND PHYSICALLY HANDICAPPED INDIVIDUALS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Clayton Mcconnell'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

January 28, 2015 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 515 North 12th Street, Murray, KY 42071

RIA

CRD#: 105644

MURRAY, KY

Current

January 20, 2015 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 515 North 12th Street, Murray, KY 42071

CRD#: 15340

Murray, KY

Past

November 5, 2012 - December 18, 2014

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

MURRAY, KY

Past

November 5, 2012 - December 18, 2014

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

MURRAY, KY

Past

May 14, 2012 - November 1, 2012

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

MARION, KY

Past

May 14, 2012 - November 1, 2012

FIFTH THIRD SECURITIES, INC.

CRD#: 628

MARION, KY

Past

September 24, 2007 - April 25, 2012

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

CLARKSVILLE, TN

Past

September 20, 2007 - April 25, 2012

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

CLARKSVILLE, TN

Past

May 30, 2007 - September 13, 2007

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

HOPKINSVILLE, KY

Past

May 30, 2007 - September 13, 2007

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

HOPKINSVILLE, KY

Past

July 24, 2006 - May 17, 2007

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

HOPKINSVILLE, KY

Past

July 13, 2006 - May 17, 2007

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

HOPKINSVILLE, KY

Past

November 29, 2005 - May 10, 2006

EDWARD JONES

CRD#: 250

MARION, KY

Past

June 17, 2005 - October 6, 2005

WOODMEN FINANCIAL SERVICES, INC.

CRD#: 117365

OMAHA, NE

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

Arkansas
(11/16/2023)

Florida
(2/11/2025)

Georgia
(1/4/2022)

Illinois
(1/26/2015)

Indiana
(1/27/2015)

Kentucky
(1/22/2015)

IAR

Kentucky
(1/28/2015)

Missouri
(1/3/2017)

Tennessee
(1/27/2015)

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: 7/21/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/2005

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: 11/28/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/16/2005

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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Advisor Monitoring

Firm Stability Insights

James C. Mcconnell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Clayton Mcconnell's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

EDWARD JONES

WOODMEN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/2006

Series 63

Date: 7/1/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/28/2005

Series 6

Date: 6/16/2005

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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