JG
James M. Gardas
CETERA INVESTMENT ADVISERS LLC
HAWLEY, PA 18424
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CRD#: 5636149
JG
Professional summary
James Murray Gardas, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hawley, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Hawley, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. James has worked at 2 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. THE DIME BANK, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, BANKING, START 12/2008, 34HRS/WK (32.5 TRADING HOURS), REGISTERED REPRESENTATIVE; 2. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 08/26/2014, 6HRS/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 3. J&J&J PARTNERSHIP, NOT INVESTMENT RELATED, SAME AS RESIDENTIAL ADDRESS, RENTAL PROPERTIES, START 02/01/2011, 2HRS/WK (NON-TRADING HOURS), GENERAL PARTNER; 4. NAME OF OTHER BUSINESS: J & J CREAMERY; INVESTMENT RELATED: NO; ADDRESS: 38 WELWOOD AVE, HAWLEY, PA 18428; NATURE OF BUSINESS: ICE CREAM AND FAST FOOD BUSINESS; START DATE: 09/2016; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: OWNER; 5. NAME OF OTHER BUSINESS: DIME WEALTH MANAGEMENT ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: BANKING ; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR ; START DATE: 07/2019 ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: INVESTMENT AND WEALTH MANAGEMENT SERVICES ;
CRS (Client Relationship Summary) - RIA
Click below to view James Murray Gardas'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 99 Welwood Ave, Hawley, PA 18424Office #2: 820 Church Street, Honesdale, PA 18431Office #3: 300 Lackawanna Ave, Scranton, PA 18503Office #4: 309 Main Ave, Hawley, PA 18428RIA
CRD#: 105644
HAWLEY, PA
Current
February 4, 2009 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 99 Welwood Ave, Hawley, PA 18428Office #2: 309 Main Ave, Hawley, PA 18428Office #3: 1671 Cochecton Turnpike, Damascus, PA 18415Office #4: 820 Church Street, Honesdale, PA 18431Office #5: 157 Brooklyn St, Carbondale, PA 18407Office #6: 1566 Route 507, Greentown, PA 18426Office #7: 1824 Route 739, Dingmans Ferry, PA 18328Office #8: 300 Lackawanna Ave, Scranton, PA 18503Office #9: 1055 Texas Palmyra Highway, Honesdale, PA 18431BD
CRD#: 13572
HAWLEY, PA
Past
March 17, 2009 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, 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
Alaska(7/15/2015)
RR
Arizona(1/2/2013)
RR
Arkansas(7/15/2015)
RR
California(1/8/2016)
RR
Colorado(1/18/2011)
RR
Connecticut(4/19/2011)
RR
Delaware(1/2/2013)
RR
Florida(1/4/2010)
RR
Georgia(5/21/2010)
RR
Maryland(7/15/2015)
RR
Massachusetts(7/9/2024)
RR
New Jersey(7/27/2010)
RR
New Mexico(7/15/2015)
RR
New York(3/17/2009)
RR
North Carolina(7/15/2015)
RR
North Dakota(5/4/2021)
RR
Oklahoma(12/14/2017)
RR
Pennsylvania(3/10/2009)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(8/28/2009)
RR
Texas(9/30/2025)
IAR
Texas(10/1/2025)
RR
Vermont(10/9/2018)
RR
Virginia(5/21/2010)
RR
Washington(4/26/2018)
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#: 105644Hawley, PA 18424TRUST BUT VERIFY
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