JT
James M. Taylor
CETERA INVESTMENT ADVISERS LLC
PETOSKEY, MI 49770
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CRD#: 4973142
JT
Professional summary
James Michael Taylor, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Petoskey, Michigan and CETERA WEALTH SERVICES, LLC located in Petoskey, Michigan.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. James has worked at 6 firms and has passed the Series 66, 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) DGN REALTY, LLC POSITION: Member NATURE: Rental building - leased to CPA practice and other tenants. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2017 ADDRESS: 415 Munson Ave, Traverse City MI 49686, United States DESCRIPTION: no day to day responsibilites - voting member of board. 2) DGN WEALTHCARE ADVISORS LLC POSITION: Advisor NATURE: Will join DGN Wealthcare after being licensed. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2019 ADDRESS: 415 Munson Avenue, Travese City MI 49686, United States DESCRIPTION: advisor 3) EIGER INVESTMENTS, LLC POSITION: Member NATURE: Rental Condo in Traverse City INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/04/2018 ADDRESS: 11980 Cabana Shores Rd., Williamsburg MI 49690, United States DESCRIPTION: support/strategy; my wife makes decisions and operates this rental. 4) DEARTH FAMILY TRUST UAD FEBRUARY 6, 2007 FBO JENNA MARIE GUTHRIE; POSITION: Co-Trustee NATURE: serve as co-trustee INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/29/2019 ADDRESS: 415 Munson Ave., Traverse City MI 49686, United States DESCRIPTION: work with co-trustee to make regarding trust administration for benefit of Jenna Marie Guthrie. 5) EIGER INVESTMENTS, LLC POSITION: Member NATURE: Holds rental property and investments. Only current holding is brokerage account held at Avantax. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/04/2018 ADDRESS: 11980 Cabana Shores Rd., Williamsburg MI 49690, United States DESCRIPTION: support/strategy; my wife makes decisions and operates any rental. 6) NAXOS HOLDINGS, LLC POSITION: Member NATURE: My wife and I purchased a vacant parcel near our home and it is held in this LLC. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/16/2023 ADDRESS: 11980 Cabana Shores, Williamsburg MI 49690, United States DESCRIPTION: Maintenance of property 7) DGN, LLC POSITION: Partner NATURE: CPA Firm I primarily work as a tax partner providing the following top 5 services: Tax compliance, filing corporate, individual, estate/gift returns, tax planning, business consulting services, planning for the tax structure of transactions and planning for the business succession for owners. INVESTMENT RELATED: No NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 100 START DATE: 01/01/2017 ADDRESS: 415 Munson Avenue, Ste 201, Traverse City MI 49686, United States DESCRIPTION: Tax Partner My top 5 duties as a tax partner, include client / relationship management, tax department oversight, new business acquisition, firm management, providing tax compliance and planning services.
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Taylor'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®
CFP®
Start date: 2008
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 923 Spring Street, Petoskey, MI 49770Office #2: 415 Munson Avenue Suite 201, Traverse City, MI 49686RIA
CRD#: 105644
PETOSKEY, MI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 923 Spring Street, Petoskey, MI 49770Office #2: 415 Munson Avenue Suite 201, Traverse City, MI 49686BD
CRD#: 13572
Petoskey, MI
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
TRAVERSE CITY, MI
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
TRAVERSE CITY, MI
Past
January 21, 2019 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
Traverse City, MI
Past
December 10, 2018 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
TRAVERSE CITY, MI
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
Alabama(9/5/2025)
RR
Illinois(9/5/2025)
RR
Michigan(9/5/2025)
IAR
Michigan(9/5/2025)
RR
New York(9/18/2025)
Exams
State Security Law Exam
General 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
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.
