James Michael Stapleton

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:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2007-06-19

NJ RA
APPROVED

Since 2007-06-19

Branch Locations

700 Kinderkamack Road Suite 104, Oradell, NJ 07649 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
James M Stapleton, Cpa, Pc	Oradell	NJ	08/1992	Present
Cetera Financial Specialists Llc	Schaumburg	IL	10/2005	Present
Cetera Investment Advisers Llc	Schaumburg	IL	05/2007	Present

08/1992 → Present

James M Stapleton, Cpa, Pc

Oradell, NJ
10/2005 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
05/2007 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1)J.M.STAPLETON AND COMPANY; NOT INV REL; ACCOUNTING PRACTICE, PROVIDES AUDITING, ACCOUNTING AND TAX SERVICES TO MY CLIENTS; CPA/PRESIDENT SINCE 4/92; SERVICE CLIENTS INDICATED ABOVE; 50HR WORK WEEK; CORP: JAMES M. STAPLETON. 50 HOURS PER WEEK, ORADELL, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-06-18
S63	Uniform Securities Agent State Law Examination	2003-02-06

S65 Uniform Investment Adviser Law Examination

2007-06-18
S63 Uniform Securities Agent State Law Examination

2003-02-06

Other Names

James Michael Stapeton

View on SEC IAPD