James Albert Steele

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2002 → 10/2016
  Investors Capital Corporation
  Lynnfield, MA
• 10/2016 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2005-06-16 → 2016-10-03
  Investors Capital Corp.
  Sandwich, MA
  Lynnfield, MA
  Lynnfield, MA
  Lynnfield, MA
  Sandwich, MA
  Lynnfield, MA
  Lynnfield, MA
• 2004-01-15 → 2005-06-16
  Eastern Point Advisors Inc.

Exams

• S66 Uniform Combined State Law Examination
  1999-11-22
• S63 Uniform Securities Agent State Law Examination
  1989-04-07