James C Whitis

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

• 09/2005 → 09/2022
  First Allied Securities, Inc.
  San Diego, CA
• 07/2012 → 11/2020
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 11/2020 → 09/2022
  First Allied Advisory Services
  Schaumburg, IL
• 09/2022 → Present
  Cetera Advisors Llc
  Somerset, KY
• 09/2022 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2012-07-02 → 2020-11-12
  First Allied Advisory Services, Inc.
  Elbert, CO
  Parker, CO
  Port Charlotte, FL
  Somerset, KY
• 2005-09-19 → 2012-07-02
  First Allied Securities, Inc.
  Parker, CO
  Somerset, KY
• 2003-08-12 → 2005-09-21
  Raymond James Financial Services, Inc.
  Cambridge, OH
• 1999-08-09 → 2003-07-15
  Morgan Stanley Dw Inc.
  Canton, OH

Other Businesses

1.) A-1 FINANCIAL; "DOING BUSINESS AS" (DBA); 2.) JCPJENTERPRISES; PARTNER; RETAIL SALES/STORE; START DATE 10/01/2011; 20 HOURS PER MONTH. 3) SUCCESSOR TRUSTEE FOR JAMES WHITIS FAMILY TRUST; SUCCESSOR TRUSTEE; FIDICUARY POSITION; START DATE 9/16/2011; 20 HOUR PER MONTH. 4) CROSSROADS COMMUNITY CHURCH; TREASURER; NON-PROFIT ORGANIZATION; START DATE 08/01/2020; 12 HOURS PER MONTH.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-04-26
• S63 Uniform Securities Agent State Law Examination
  1990-07-26

Other Names

• James C Whitis