James Lee Hall

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

• 02/2011 → 09/2022
  First Allied Securities, Inc.
  Rogers, AR
• 11/2020 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 02/2011 → 11/2020
  First Allied Advisory Services, Inc.
  Schaumburg, IL
• 09/2022 → Present
  Cetera Advisors Llc
  Bentonville, AR

Previous Registrations

• 2015-02-10 → 2020-11-12
  First Allied Advisory Services, Inc.
  Rogers, AR
  Bentonville, AR
  Rogers, AR
  Bentonville, AR

Other Businesses

1) HARVEST INVESTMENT STRATEGIES, LLC; REGISTERED SALES ASSISTANT; DBA; START DATE: 02/07/2013; 160 HOURS PER MONTH.

Exams

• S66 Uniform Combined State Law Examination
  2014-05-14

Other Names

• Lee Hall