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James Clayton Mcconnell

Cetera Investment Advisers LLC

Murray, KY

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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
KY RA APPROVED 2015-01-28
  • KY RA
    APPROVED
    Since 2015-01-28

Branch Locations

515 North 12Th Street, Murray, KY 42071 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Regions Bank Murray KY 01/2015 Present
Cetera Investment Services Llc St. Cloud MN 01/2015 Present
Cetera Investment Advisers Llc Murray KY 01/2015 Present
  • 01/2015 → Present
    Regions Bank
    Murray, KY
  • 01/2015 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 01/2015 → Present
    Murray, KY
Previous Registrations
  • 2012-11-05 → 2014-12-18
    Bb&T Investment Services, Inc.
    Charlotte, NC
    Murray, KY
    Paducah, KY
  • 2012-05-14 → 2012-11-01
    Eddyville, KY
    Nortonville, KY
    Dawson Springs, KY
    Marion, KY
    Morganfield, KY
  • 2007-09-24 → 2012-04-25
    Cuso Financial Services, L.P.
    San Diego, CA
    Clarksville, TN
  • 2007-05-30 → 2007-09-13
    Investment Professionals, Inc.
    San Antonio, TX
    Hopkinsville, KY
  • 2006-07-24 → 2007-05-17
    Bb&T Investment Services, Inc.
    Charlotte, NC
    Murray, KY
    Hopkinsville, KY
    Charlotte, NC
Other Businesses

1. BOARD MEMBER OF JU KEVIL FOUNDATION; PROVIDS EDUCATION AND JOB TRAINING SKILLS FOR MENTALLY AND PHYSICALLY HANDICAPPED INDIVIDUALS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-07-21
S63 Uniform Securities Agent State Law Examination 2005-07-01
  • S65 Uniform Investment Adviser Law Examination
    2006-07-21
  • S63 Uniform Securities Agent State Law Examination
    2005-07-01
Other Names
  • James Clayton Mc Connell
  • Clay Mcconnell

View on SEC IAPD

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