James M Coll

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

• 01/1999 → Present
  James J Coll & Associates Llc
  Newark, DE
• 06/1999 → 12/2016
  H.D. Vest Investment Services
  Wilmington, DE
• 12/1999 → 12/2016
  H.D. Vest Advisory Services
  Wilmington, DE
• 12/2016 → 11/2017
  Ameriprise Financial Services, Inc.
  Wilmington, DE
• 12/2017 → 09/2025
  Avantax Investment Services, Inc.
  Wilmington, DE
• 12/2017 → 09/2025
  Avantax Advisory Services
  Wilmington, DE
• 02/2020 → 09/2025
  Avantax Insurance Agency, Llc
  Wilmington, DE
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Wilmington, DE
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2017-12-21 → 2025-09-05
  Avantax Advisory Services
  Wilmington, DE
  Wilmington, DE
  Dallas, TX
• 2016-12-02 → 2018-01-24
  Ameriprise Financial Services, Llc
  Newark, DE
• 1999-12-14 → 2016-12-09
  Avantax Advisory Services
  Newport, DE
• 2002-10-25 → 2002-10-25
  Avantax Advisory Services
  Wilmington, DE

Other Businesses

1) James J Coll & Associates, LLC~'NIR'~4509 Claremont Court~Wilmington~DE~19808~Accounting Services/Tax Preparation~Owner~1/1/1999~100hrs~60hrs~I am the principal of the business. I meet with clients and perform all duties related to preparing and filing all returns. I also do a little bit of payroll processing.|

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-01
• S63 Uniform Securities Agent State Law Examination
  1994-05-03

Other Names

• James M Coll
• James Coll