James Robert Aukerman

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

• 08/2007 → 09/2025
  Avantax Investment Services, Inc.
  Traverse City, MI
• 04/2010 → 09/2025
  Avantax Advisory Services
  Traverse City, MI
• 07/2008 → 09/2025
  Avantax Insurance Agency, Llc
  Traverse City, MI
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Traverse City, MI
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2010-05-27 → 2025-09-05
  Avantax Advisory Services
  Traverse City, MI

Other Businesses

1) James Robert Aukerman~'NIR'~4155 Huntington Dr.~Traverse City~MI~49686~Attorney/Legal Practice~Owner/Sole Proprietor~6/16/2010~5hrs~0hrs~Legal Services. 2) TC Tax Law and CPA~'NIR'~4155 Huntington Dr~Traverse City~MI~49686~Tax Preparation/Accounting~Tax Preparation/Accounting~9/1/2012~3hrs~3hrs~Tax preparation & tax planning. 3) AVANTAX INSURANCE AGENCY, INC.; POSITION: Equity Indexed Annuities; ~NIR~; # OF HRS: 2 SECURITIES TRADING HOURS: 1 ST DT: 02/23/22 ADDR: 4155 Huntington Dr, Traverse City MI 49686 DESCR: Sales and monitoring of equity indexed annuities. 3) TC TAX LAW AND CPA POSITION: Tax Planning; advise on tax return prepared by client NATURE: Tax Planning ~NIR~; # OF HRS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2012; ADDR: 4155 Huntington Dr, Traverse City MI 49686 DESCR: Tax planning; possibly advise client who is preparing his/her own return. 4) JAMES AUKERMAN POSITION: Agent NATURE: Provide assistance to people turning 65 of their Medicare Supplement and Medicare Advantage choices for 2023 and later years. I would be contracted with Aetna Insurance as a producer and maybe 1 or 2 other companies like Blue Cross/Blue Shield I would do no marketing. I would do this only for friends whom I happen to learn will turn 65. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/09/2022 ADDRESS: 4155 Huntington Drive, Traverse City MI 49686, United States DESCRIPTION: I would cover which prescriptions they might need, to what extent they would want to pay for certain premiums, deductibles, etc. for a given amount of coverage. I would help with the paperwork to get them signed up with a plan. 5) SCORE POSITION: SCORE mentor/counsellor. NATURE: SCORE mentor/counselor. SCORE mentors/counsels primarily persons who want help in knowing the steps in planning to start a business. Occasionally it helps provide information to existing small businesses as well. SCORE encourages its clients to write a business plan for their clients' use, and SCORE mentors review the plans and offer suggestions. Its website is Score.org SCORE is not a for-profit organization.; ~NIR~; # OF HRS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/20/14 ADDR: 202 East Grandview Parkway, Traverse City MI 49684 DESCR: Mentor/counselor. None of the SCORE mentors/counselors accept any compensation for their work.

Exams

• S66 Uniform Combined State Law Examination
  2007-11-13

Designations

• Certified Financial Planner
• Personal Financial Specialist