JB
James D. Brashear
CETERA INVESTMENT ADVISERS LLC
FORT SMITH, AR 72903
Some features on this profile are disabled
CRD#: 7825958
JB
Professional summary
James David Brashear, who also goes by James Brashear, 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 2024. 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 Brashear
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.
LANDMARK FINANCIAL, LLC POSITION: Referring Certified Public Accountant NATURE: Landmark Financial, LLC is a wealth management firm that provides the following services to clients:1. Tax Planning2. Tax-Smart Investing3. Retirement Planning4. Investment Planning5. Business Planning6. Estate Planning7. Insurance Planning8. Income Protection Planning9. Special Situations Advising10. Education PlanningLandmark Financial, LLC offers securities services through Avantax Investment Services, Investment advisory services are offered through Avantax Advisory Services, Insurance services are offered through an Avantax affiliated insurance agency. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2023 ADDRESS: 3101 South 70th Street, Fort Smith AR 72903, United States DESCRIPTION: Duties and responsibilities include:1. Meeting with clients and evaluating the client's needs for wealth management services.2. Provide tax specific guidance and tax planning efforts for wealth management services.3. Provide guidance on retirement options available.4. Provide the wealth management team with updated financial information for already established wealth management clients.5. Collaborate with wealth management advisors to ensure estate plans are the most advantageous to clients. DIAMOND RAGDOLLS OF ARKANSAS, LLC POSITION: Member/Owner NATURE: Breeding of Ragdoll Cats INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 0 START DATE: 06/05/2020 ADDRESS: 1375 Meadow Bridge Dr, Greenwood AR 72936, United States DESCRIPTION: Accounting of transactions of the business.Upkeep of facilities.Caring for Cats/Kittens. LANDMARK PLC, CERTIFIED PUBLIC ACCOUNTANTS POSITION: Tax Director NATURE: Landmark PLC, Certified Public Accountants is a full service public accounting firm which provides the following services to clients:1. Audit and Assurance2. Accounting and Bookkeeping3. Tax Planning and Management4. Business Consulting5. Bond Arbitrage6. Employee Benefit Plan Audit7 Forensic Accounting INVESTMENT RELATED: Yes NUMBER OF HOURS: 196 SECURITIES TRADING HOURS: 130 START DATE: 08/24/2009 ADDRESS: 3101 South 70th Street, Fort Smith AR 72903, United States DESCRIPTION: Duties and responsibilities include:1.Meeting with clients and evaluating client's needs for tax services.2. Provide tax specific guidance and tax planning efforts for the firm's clients.3. Provide guidance on retirement options available to clients.4. Provide tax research for tax related issues.5. Collaborate with the wealth management advisors to ensure estate plans are the most advantageous to clients.
CRS (Client Relationship Summary) - RIA
Click below to view James David Brashear'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 South 70th Street, Fort Smith, AR 72903RIA
CRD#: 105644
FORT SMITH, AR
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3101 South 70th Street, Fort Smith, AR 72903BD
CRD#: 13572
FORT SMITH, AR
Past
March 4, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Fort Smith, AR
Past
February 5, 2024 - 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)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/5/2024
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
