JR
James A. Rawson
CETERA INVESTMENT ADVISERS LLC
CONCORD, CA 94520
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CRD#: 5377647
JR
Professional summary
James Andrew Rawson, who also goes by James A Rawson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Concord, California and CETERA WEALTH SERVICES, LLC located in Concord, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. James has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James A Rawson
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: BAR FINANCIAL PARTNERS LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view James Andrew Rawson'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®
NoneExperience
Current
February 14, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520RIA
CRD#: 105644
CONCORD, CA
Current
February 14, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520BD
CRD#: 13572
Concord, CA
Past
February 17, 2023 - January 3, 2024
CETERA ADVISORS LLC
BD
CRD#: 10299
WALNUT CREEK, CA
Past
February 16, 2023 - January 3, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
WALNUT CREEK, CA
Past
July 18, 2019 - May 11, 2021
MORGAN STANLEY
RIA
CRD#: 149777
WALNUT CREEK, CA
Past
July 17, 2019 - May 11, 2021
MORGAN STANLEY
BD
CRD#: 149777
WALNUT CREEK, CA
Past
February 26, 2016 - July 13, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
OAKLAND, CA
Past
January 28, 2016 - July 13, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
OAKLAND, CA
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
Arizona(7/29/2024)
RR
California(2/14/2024)
IAR
California(2/14/2024)
RR
Colorado(3/22/2024)
RR
Connecticut(8/29/2024)
RR
District of Columbia(12/26/2024)
RR
Georgia(4/30/2024)
RR
Hawaii(3/14/2024)
RR
Idaho(7/17/2024)
RR
Kansas(8/26/2024)
RR
Maine(5/21/2024)
RR
Massachusetts(11/8/2024)
RR
Michigan(7/29/2024)
RR
Missouri(2/26/2024)
RR
Montana(7/22/2024)
RR
Nevada(7/11/2024)
RR
New Hampshire(1/14/2025)
RR
New Mexico(11/5/2024)
RR
New York(11/5/2024)
RR
Ohio(5/15/2024)
RR
Oregon(5/24/2024)
RR
Pennsylvania(4/22/2024)
RR
South Carolina(7/17/2024)
RR
Texas(7/29/2024)
IAR
Texas(7/31/2024)
RR
Utah(8/29/2024)
RR
Virginia(1/14/2025)
RR
Washington(4/23/2024)
RR
Wyoming(2/26/2025)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Concord, CA 94520TRUST BUT VERIFY
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