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James T Farley

Cetera Investment Advisers LLC

San Diego, CA

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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
CA RA APPROVED 2024-05-14
IL RA APPROVED 2008-06-06
  • CA RA
    APPROVED
    Since 2024-05-14
  • IL RA
    APPROVED
    Since 2008-06-06

Branch Locations

655 W Broadway 12Th Fl, San Diego, CA 92101 • 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
Cetera Financial Specialists Llc Schaumburg IL 07/2004 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2014 Present
Legend Equities Corporation Palm Beach Gardens FL 10/2015 10/2019
  • 07/2004 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 01/2014 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
  • 10/2015 → 10/2019
    Legend Equities Corporation
    Palm Beach Gardens, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-20
  • S66 Uniform Combined State Law Examination
    2006-07-20
Other Names
  • James T Farley
  • James T Farley

View on SEC IAPD

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RBC CAPITAL MARKETS, LLC
CETERA INVESTMENT MANAGEMENT LLC
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SILVIA MCCOLL WEALTH MANAGEMENT, LLC
RICE HALL JAMES & ASSOCIATES LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Other Investors

Summer Rae Pretzer
Jeffrey Raymond Dockan
Arben Qirjazi
James Grandinetti
RYAN MAUL
ASHLEY LYNN TESTER
Megan Polizzi
MATTHEW SCOTT NAKAMURA

Other Offices

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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