JM
James A. Matthews
CETERA INVESTMENT ADVISERS LLC
WEBSTER, TX 77598
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CRD#: 7361225
JM
Professional summary
James A. Matthews, who also goes by James Arthur Matthews IV, James Arthur Matthews, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Webster, Texas and CETERA ADVISORS LLC located in Webster, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. 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 Arthur Matthews Iv | James Arthur Matthews
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: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 11/2022, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, AND FIXED ANNUITIES; 2.NAME OF OTHER BUSINESS: BURROWS CAPITAL ADVISORS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2024, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: MATTHEWS, INC, INVESTMENT RELATED: NO, ADDRESS: 531 TEXAS AVE, TEXAS CITY, TX 77590, NATURE OF BUSINESS: AUTOMOTIVE, START DATE: 06/2015, POSITION/TITLE/RELATIONSHIP: PART OWNER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: BUSINESS DEVELOPMENT ASSISTANCE; 4. NAME OF OTHER BUSINESS: BURROWS BUSINESS SERVICES, LLC DBA BFH TAX, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 03/2025, POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT & CONSULTANT, APX NUMBER OF HOURS PER WEEK: 15, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION, TAX PREPARATION, BOOKKEEPING SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view James A. Matthews'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
March 22, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 224 Sandhill St, Webster, TX 77598RIA
CRD#: 105644
WEBSTER, TX
Current
March 14, 2024 - Present
CETERA ADVISORS LLC
Office #1: 224 Sandhill St, Webster, TX 77598BD
CRD#: 10299
WEBSTER, TX
Past
March 14, 2024 - March 22, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
November 1, 2022 - March 2, 2024
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
HOUSTON, TX
Past
November 1, 2022 - March 2, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HOUSTON, TX
Past
September 20, 2021 - February 17, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Temple Terrace, FL
Past
July 23, 2021 - February 17, 2022
MORGAN STANLEY
BD
CRD#: 149777
Temple Terrace, FL
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
Colorado(3/14/2024)
RR
Connecticut(1/2/2025)
RR
Texas(3/14/2024)
IAR
Texas(3/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/23/2021
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
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.
