James W. Battle
CETERA INVESTMENT ADVISERS LLC
ROCKVILLE, MD 20850
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CRD#: 5485572
Professional summary
James Wesley Battle IV, CFP®, who also goes by James W Battle IV, James W Battle, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rockville, Maryland and CETERA WEALTH SERVICES, LLC located in Rockville, Maryland.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. James has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James W Battle Iv | James W Battle
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: FINANCIAL ADVANTAGE ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL PLANNING POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR START DATE: 8/2023 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL PLANNING SERVICES; 2. NAME OF OTHER BUSINESS: PHOENIX XTS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: GENERAL EDUCATION; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR; APX NUMBER OF HOURS PER WEEK: 6; APX NUMBER OF HOURS DURING TRADING HOURS: 6; BRIEF DESCRIPTION OF DUTIES: GENERAL EDUCATION ON FEDERAL BENEFITS; 3. NAME OF OTHER BUSINESS: NATIONAL ACTIVE AND RETIRED FEDERAL EMPLOYEE ASSOCIATION ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EDUCATIONAL CONSULTING; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: HELP THE BENEFITS TEAM ANSWER GENERAL QUESTIONS ABOUT FEDERAL EMPLOYEE BENEFITS FOR THEIR MEMBERS;
CRS (Client Relationship Summary) - RIA
Click below to view James Wesley Battle IV'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: 2012
Experience
Current
September 1, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2101 Gaither Rd Ste 600, Rockville, MD 20850RIA
CRD#: 105644
ROCKVILLE, MD
Current
September 1, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2101 Gaither Rd Suite 600, Rockville, MD 20850BD
CRD#: 13572
Rockville, MD
Past
July 31, 2014 - August 29, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
ROCKVILLE, MD
Past
July 31, 2014 - August 29, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ROCKVILLE, MD
Past
June 10, 2014 - July 25, 2014
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
SEVERNA PARK, MD
Past
May 19, 2014 - July 25, 2014
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
SEVERNA PARK, MD
Past
February 21, 2012 - December 5, 2013
WEALTHSPIRE ADVISORS
RIA
CRD#: 113678
COLUMBIA, MD
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(10/25/2024)
RR
Arizona(5/20/2025)
RR
Arkansas(6/30/2025)
RR
California(8/6/2024)
RR
Colorado(5/13/2025)
RR
Delaware(9/1/2023)
RR
District of Columbia(9/1/2023)
RR
Florida(9/1/2023)
RR
Georgia(9/1/2023)
RR
Idaho(1/27/2025)
RR
Illinois(10/31/2025)
RR
Kansas(6/17/2025)
RR
Louisiana(4/8/2024)
RR
Maryland(9/1/2023)
IAR
Maryland(9/1/2023)
RR
Minnesota(8/28/2025)
RR
Missouri(7/12/2024)
RR
Nevada(12/15/2023)
RR
New Hampshire(12/15/2023)
RR
New Jersey(7/14/2025)
RR
New Mexico(10/30/2025)
RR
New York(12/15/2023)
RR
North Carolina(1/27/2025)
RR
Ohio(9/20/2023)
RR
Oregon(8/6/2024)
RR
Pennsylvania(9/1/2023)
RR
South Carolina(9/16/2024)
RR
Texas(9/20/2023)
IAR
Texas(9/21/2023)
RR
Virginia(9/1/2023)
RR
Washington(3/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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.
