James Patrick Mccloskey

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

• 12/1996 → 08/2023
  Securian Financial Services Inc.
  St Paul, MN
• 02/1996 → Present
  Tax & Financial Group
  Newport Beach, CA
• 12/1996 → 08/2023
  Minnesota Life Ins Co.
  St Paul, MN
• 03/1983 → Present
  Self-Employed
  Huntington Beach, CA
• 08/2023 → Present
  Cetera Wealth Services, Llc
  Newport Beach, CA
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2003-02-12 → 2023-08-10
  Securian Financial Services, Inc.
  Newport Beach, CA
  Newport Beach, CA
  St. Paul, MN

Other Businesses

1) JAMES P. MCCLOSKEY-RENTAL PROPERTY POSITION: Partner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2004 ADDRESS: , Huntington Beach CA , United States DESCRIPTION: Partner 2) REAL ESTATE SALES AND INVESTMENT POSITION: Salesperson NATURE: Realtor INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/01/1983 ADDRESS: , Huntington Beach CA , United States DESCRIPTION: Salesperson 3) JAMES MCCLOSKEY INSURANCE SERVICES INC POSITION: Owner NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 10/18/2019 ADDRESS: , Newport Beach CA , United States DESCRIPTION: Owner 4) NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: LIFE SETTLEMENT; START DATE: 11/2023; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC.; 5. NAME OF OTHER BUSINESS: TAX AND FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, 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; 6. NAME OF OTHER BUSINESS: WE CARE MAKE A WISH; INVESTMENT RELATED: NO; ADDRESS: 4001 MACARTHUR 3#, NEWPORT BEACH, CA 92660; NATURE OF BUSINESS: BOARD; START DATE: 9/2025; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: HELP IN CLOSING THE COMPANY; 7)NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 3/15/2026 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-09-07
• S63 Uniform Securities Agent State Law Examination
  1997-03-12