JH
James B. Hopkins
CETERA INVESTMENT ADVISERS LLC
FORT SMITH, AR 72903
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CRD#: 7326776
JH
Professional summary
James Breck Hopkins Jr, who also goes by James B Hopkins, James Breck Hopkins, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Smith, Arkansas and CETERA WEALTH SERVICES, LLC located in Fort Smith, Arkansas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. James has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James B Hopkins | James Breck Hopkins
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 ASCENSION GROUP LLC POSITION: Managing Member NATURE: Made the LLC in case a group of people wanted to invest in property but did not move forward with it. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/11/2021 ADDRESS: P.O. Box 5803, Fort Smith AR 72913, United States DESCRIPTION: None at this time. 2) LANDMARK FINANCIAL LLC POSITION: Client Relations Coordinator NATURE: This entity provides financial services and guidance to clients. Help people reach financial goals and aids them through financial hardships. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/08/2021 ADDRESS: 3101 S 70th Street, Fort Smith AR 72903, United States DESCRIPTION: Paperwork401k Client Assistance Answer Phone Calls Marketing Prospecting Once licensed can offer investment advice and products to clients
CRS (Client Relationship Summary) - RIA
Click below to view James Breck Hopkins Jr'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3101 S 70th Street, Fort Smith, AR 72903Office #2: 2003 South Horsebarn Road Suite 4, Rogers, AR 72758RIA
CRD#: 105644
FORT SMITH, AR
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3101 South 70th Street, Fort Smith, AR 72903Office #2: 2003 South Horsebarn Road Suite 4, Rogers, AR 72758BD
CRD#: 13572
FORT SMITH, AR
Past
March 31, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Fort Smith, AR
Past
February 22, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
FORT SMITH, AR
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
Arkansas(9/5/2025)
IAR
Arkansas(9/5/2025)
RR
Oklahoma(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/22/2022
General Securities Representative ExaminationGeneral 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Fort Smith, AR 72903TRUST BUT VERIFY
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