James E. Schutz

CETERA INVESTMENT ADVISERS LLC

MADISON, WI 53711

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CRD#: 728206

Professional summary

James Emery Schutz is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Madison, Wisconsin and CETERA WEALTH SERVICES, LLC located in Madison, Wisconsin.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. James has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 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. NAME OF OTHER BUSINESS: STATEHOUSE INVESTMENTS LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 3/1981 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: STATEHOUSE INVESTMENTS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 5/2006 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 7 BRIEF DESCRIPTION OF DUTIES: OWNER, FINANCIAL ADVISOR, BRANCH MANAGER;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Emery Schutz's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 406 Science Dr Ste 408, Madison, WI 53711

RIA

CRD#: 105644

MADISON, WI

Current

March 26, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 406 Science Dr Ste 408, Madison, WI 53711

CRD#: 13572

MADISON, WI

Past

March 26, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Madison, WI

Past

May 25, 2006 - April 5, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

MADISON, WI

Past

May 25, 2006 - April 5, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

MADISON, WI

Past

July 23, 1999 - June 15, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 29, 1989 - July 27, 1999

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

August 23, 1985 - December 12, 1989

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

April 5, 1983 - September 7, 1985

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

April 13, 1981 - May 2, 1983

THE MILWAUKEE COMPANY

CRD#: 823

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(4/5/2021)

Arizona
(3/26/2021)

California
(3/26/2021)

Florida
(3/26/2021)

Illinois
(4/12/2021)

Maryland
(1/2/2025)

Minnesota
(4/8/2021)

Missouri
(3/26/2021)

New York
(3/26/2021)

Ohio
(3/26/2021)

Washington
(3/26/2021)

Wisconsin
(3/26/2021)

IAR

Wisconsin
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/24/2008

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/20/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/27/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/27/2007

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/21/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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James E. Schutz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Emery Schutz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

ROBERT W. BAIRD & CO. INCORPORATED

E. F. HUTTON & COMPANY INC

THE MILWAUKEE COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/24/2008

Series 65

Date: 7/7/1999

Series 63

Date: 4/20/1981

SIE

Date: 10/1/2018

Series 7

Date: 4/11/1981

Series 10

Date: 12/27/2007

Series 9

Date: 12/27/2007

Series 24

Date: 7/21/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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