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James Glenn Gardner

Cetera Investment Advisers LLC

New York, NY

New York, NY

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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
NY RA APPROVED 2021-04-12
  • NY RA
    APPROVED
    Since 2021-04-12

Branch Locations

1430 Broadway Suite 700, New York, NY 10018 • United States

New York, NY • 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
Foresters Financial Services New York NY 10/2007 06/2019
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Investment Advisers Llc New York NY 06/2019 Present
  • 10/2007 → 06/2019
    Foresters Financial Services
    New York, NY
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2019 → Present
    Cetera Investment Advisers Llc
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-01-15
  • S63 Uniform Securities Agent State Law Examination
    2008-01-15
Other Names
  • James Glenn Gardner

View on SEC IAPD

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KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
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