James Arvil Whisman

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

• 05/2004 → Present
  Wharton Management Group
  Wilmington, DE
• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2004-05-25 → 2013-09-03
  Walnut Street Securities, Inc.
  Wilmington, DE
  Wilmington, DE
  Wilmington, DE
  New Castle, DE

Other Businesses

(1) CPA, I ADVISE MY TAX CLIENTS ON A RANGE OF BUSINESS AND PERSONAL ACTIVITIES AND FUNCTIONS, 10HRS/WEEKDAYS, SINCE 12/1973; (2) NAME OF OTHER BUSINESS: COLONIAL FINANCIAL & TAX SERVICES LLC; INVESTMENT RELATED: NO; ADDRESS: 700 DELEWARE STREET NEW CASTLE, DE 19720; NATURE OF BUSINESS: CPA PRACTICE; START DATE: 4/2021; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF TRADING HOURS PER WEEK: 4; POSITION/TITLE/RELATIONSHIP: OWNER; BRIEF DESCRIPTION OF DUTIES: TAXES PREPARATION AND PLANNING, BOOKKEEPING; (3) OWNS SERVERAL RENTAL PROPERTIES THOUGH BOTH LLC'S AND S-CORPORATIONS, RENT MANAGERS, INC., TAMARAC III, LLC, WOODMILL III, INC. MERCURY III LLC 5201 W. WOODMILL DRIVE, WILMINGTON DE 19808, 8HRS/WEEKDAYS, SINCE 9/1981; (4) NAME OF OTHER BUSINESS: WHARTON INVESTMENT CONSULTANTS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: ADVISORY BUSINESS, POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE, START DATE: 8/2012, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: IAR; (5) NAME OF OTHER BUSINESS:FIRST STATE NATIONAL PARK SERVICE; INVESTMENT RELATED: NO ; ADDRESS: 211 DELAWARE ST, NEW CASTLE DE 19720 ; NATURE OF BUSINESS: NOT FOR PROFIT ; START DATE: 07/2019 ; POSITION/TITLE/RELATIONSHIP: EDUCATOR ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: PROVIDE NATURE LESSONS ABOUT NATIONAL PARK SERVICE RESOURCES IN DELAWARE ; (6) NAME OF OTHER BUSINESS: KALMAR NYCKLE FOUNDATION ; INVESTMENT RELATED: NO ; ADDRESS: 1124 EAST 7TH ST, WILMINGTON DE 19801 ; NATURE OF BUSINESS: NOT FOR PROFIT ; START DATE: 07/2019 ; POSITION/TITLE/RELATIONSHIP: EDUCATOR ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: PROVIDE HISOTRY LESSONS ABOUT SWEDISH SETTLEMENTS IN DELAWARE VALLEY ; (7) NAME OF OTHER BUSINESS: CITY OF NEW CASTLE INVESTMENT RELATED: NO, ADDRESS: 220 DELAWARE STREET, NEW CASTLE, DE 19720, NATURE OF BUSINESS: CIVIC, START DATE:04/2024, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: REPORT TO THE BOARD, FINANCIAL RESULTS, REPORTED AT MONTHLY, AT PUBLIC MEETING;

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-01-09
• S63 Uniform Securities Agent State Law Examination
  2003-12-16

Designations

• Certified Financial Planner

Other Names

• Jim Whisman
• James Arvil Whisman