James Francis King

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

• 05/2015 → 09/2025
  Commonwealth Financial Network
  Waltham, MA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2015-05-14 → 2025-10-01
  Commonwealth Financial Network
  Waltham, MA
  Manalapan, NJ
• 2000-03-10 → 2015-05-21
  Lpl Financial Llc
  Manalapan, NJ

Other Businesses

1. NAME OF OTHER BUSINESS: WORLDNET WEALTH MANAGEMENT 401K; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: OPERATING ENTITY / BRANCH 401K PLAN; START DATE: 05/2017; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: TRUSTEE OF BRANCH 401K PLAN; 2. NAME OF OTHER BUSINESS: WORLDNET WEALTH MANAGEMENT; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ENTITY CREATED FOR OPERATING EXPENSES OF WEALTH MANAGEMENT BUSINESS; START DATE:03/2000; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ENTITY CREATED FOR OPERATING EXPENSES OF WEALTH MANAGEMENT BUSINESS; 3. NAME OF OTHER BUSINESS: KING FINANCIAL NETWORK; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MARKETING DBA NAME; START DATE: 05/2015; POSITION/TITLE/RELATIONSHIP: DIRECTOR OF WEALTH MANAGEMENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: PROVIDE INVESTMENT MANAGEMENT AND FINANCIAL PLANNING;

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-11-27
• S63 Uniform Securities Agent State Law Examination
  1993-10-18

Other Names

• James F Jr King