James Blaise Battistoni

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

• 04/2011 → 11/2017
  Invest Financial Corporation
  Tampa, FL
• 11/2017 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2011-04-18 → 2017-11-21
  Invest Financial Corporation
  Lynnwood, WA
  Lynnwood, WA
  Sammamish, WA
• 2007-06-07 → 2010-12-01
  Edward Jones
  Issaquah, WA
  Sammimish, WA
  Issaquah, WA
  St. Louis, MO

Other Businesses

(1) NAME OF OTHER BUSINESS: PATHFINDER FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 11/2017; POSITION/TITLE/RELATIONSHIP: REGISTERED REP; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/2020; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; (3) BATTISTONI FINANCIAL INC, DBA PATHFINDER FINANCIAL INC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 01/2020, OWNER, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES (4) NAME OF OTHER BUSINESS: O'DEA HIGH SCHOOL FATHER'S CLUB; INVESTMENT RELATED: NO; ADDRESS: 802 TERRY AVE SEATTLE, WA 98104; NATURE OF BUSINESS: NON PROFIT; START DATE: 09/2022; POSITION/TITLE/RELATIONSHIP: VOLUNTEER; APX NUMBER OF HOURS PER WEEK: 2-4 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2-4 ; BRIEF DESCRIPTION OF DUTIES: WORK HOME FOOTBALL GAMES, SELL ADMISSION TICKETS AND LOGO GEAR, WORK ON FIELD AND FUNDRAISE;

Exams

• S66 Uniform Combined State Law Examination
  2007-06-05
• S63 Uniform Securities Agent State Law Examination
  2006-03-31

Other Names

• James Battistoni
• James Blaise Battistoni