James Paul Stoes

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

• 05/2016 → 09/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mesa, AZ
• 06/2016 → 09/2019
  Bank Of America, N.A.
  Mesa, AZ
• 10/2019 → 06/2021
  Voya Financial Advisors, Inc.
  Chandler, AZ
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2019-10-31 → 2021-06-09
  Voya Financial Advisors, Inc.
  Gilbert, AZ
  Midvale, UT
  Chandler, AZ
  Gilbert, AZ
• 2016-05-17 → 2019-10-01
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Gilbert, AZ
• 2012-05-25 → 2016-05-18
  Edward Jones
  St Louis, MO
  Gilbert, AZ

Other Businesses

NAME OF ENTITY:San Tan Planning and Investments, PLLC.; Yes; 1820 E Ray Rd, Suite B110; Chandler; AZ; 85225; FINANCIAL SERVICES/DBA; Owner/Financial Planner; 12/1/2019; 200; 160; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS|

Exams

• S66 Uniform Combined State Law Examination
  2012-02-25
• S63 Uniform Securities Agent State Law Examination
  2009-04-23

Other Names

• James Paul Stoes
• James P Stoes