W. James Steen
Professional summary
W. James Steen, CFP®, who also goes by Jim Steen, W James Steen, W. James Steen, William James Steen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dayton, Ohio and CETERA ADVISORS LLC located in Dayton, Ohio.
W. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. W. James has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view W. James Steen's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1984
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7333 Paragon Rd Ste 250, Dayton, OH 45459January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 7333 Paragon Rd Ste 250, Dayton, OH 45459January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
December 7, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
October 29, 1999 - November 9, 2005
PETRA CAPITAL MANAGEMENT GROUP, INC.
November 25, 1996 - January 1, 2004
VESTAX SECURITIES CORPORATION
January 13, 1995 - March 6, 1997
IFG NETWORK SECURITIES, INC.
August 10, 1993 - January 13, 1995
BANC ONE SECURITIES CORPORATION
December 11, 1992 - August 19, 1993
IFG NETWORK SECURITIES, INC.
August 31, 1989 - December 31, 1992
PLANNED INVESTMENTS INC.
February 15, 1988 - March 4, 1988
LEHMAN BROTHERS INC.
January 18, 1988 - September 7, 1989
UBS FINANCIAL SERVICES INC.
March 10, 1981 - February 15, 1988
E. F. HUTTON & COMPANY INC
October 30, 1980 - December 1, 1980
VP DISTRIBUTORS LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/19/2011)
(4/17/2020)
(1/3/2018)
(1/1/2004)
(1/3/2017)
(1/1/2004)
(5/8/2019)
(11/10/2006)
(1/1/2004)
(1/1/2004)
(10/1/2013)
(1/2/2008)
(10/8/2024)
(1/1/2004)
(1/1/2004)
(1/1/2004)
(1/1/2004)
(3/21/2024)
(1/4/2007)
(1/3/2006)
(9/15/2015)
(1/2/2008)
(3/21/2024)
(1/4/2007)
(1/4/2007)
Exams
Series 1
Date: 10/20/1980
Registered Representative ExaminationSeries 8
Date: 10/16/1986
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Dayton, OH 45459TRUST BUT VERIFY
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