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James Charles Duncan

Cetera Investment Advisers LLC

El Segundo, CA

Sautee Nacoochee, GA

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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2023-03-23
  • GA RA
    APPROVED
    Since 2023-03-23

Branch Locations

2301 Rosecrans Ave #5100, El Segundo, CA 90245 • United States

Sautee Nacoochee, GA • 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
OrganizationCityStateFromTo
Aig Advisor Group Atlanta GA 03/2015 09/2017
Cetera Wealth Services, Llc El Segundo CA 09/2017 Present
Cetera Advisors Llc Denver CO 09/2017 Present
Cetera Financial Specialists Llc ( Schaumburg IL 09/2017 Present
Cetera Investment Services Llc St Cloud MN 09/2017 Present
First Allied Securities, Inc. San Diego CA 09/2017 09/2022
Summit Brokerage Services, Inc. Boca Raton FL 09/2017 12/2019
Cetera Investment Advisers Llc Schaumburg IL 03/2023 Present
  • 03/2015 → 09/2017
    Aig Advisor Group
    Atlanta, GA
  • 09/2017 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 09/2017 → Present
    Cetera Advisors Llc
    Denver, CO
  • 09/2017 → Present
    Cetera Financial Specialists Llc (
    Schaumburg, IL
  • 09/2017 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 09/2017 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 09/2017 → 12/2019
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 03/2023 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
Previous Registrations
  • 2015-08-06 → 2017-09-21
    Valic Financial Advisors, Inc.
    Houston, TX
    Houston, TX
  • 2015-08-06 → 2016-05-02
    Woodbury Financial Services, Inc.
    Oakdale, MN
  • 2015-08-06 → 2016-05-02
    Fsc Securities Corporation
    Atlanta, GA
  • 2015-08-06 → 2016-05-02
    Osaic Wealth, Inc.
    Scottsdale, AZ
  • 2015-08-06 → 2016-05-02
    Osaic Services, Inc.
    Scottsdale, AZ
  • 2014-09-08 → 2015-04-22
    Lpl Financial Llc
    Marietta, GA
    Fort Mill, SC
    Marietta, GA
  • 2011-11-15 → 2014-08-20
    Fsc Securities Corporation
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-11
S63 Uniform Securities Agent State Law Examination 2004-01-09
  • S66 Uniform Combined State Law Examination
    2011-11-11
  • S63 Uniform Securities Agent State Law Examination
    2004-01-09
Other Names
  • Jimmy Charles Duncan
  • Jimmy Duncan

View on SEC IAPD

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