James Parker

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

• 08/2013 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2012-08-23 → 2013-08-01
  Sorrento Pacific Financial, Llc
  Oxnard, CA
• 2007-05-31 → 2012-07-16
  Partnervest Advisory Services Llc
  Oxnard, CA
  Santa Barbara, CA
• 2006-06-27 → 2007-04-10
  Citicorp Investment Services
  Camarillo, CA
• 2001-05-22 → 2006-08-01
  Ubs Financial Services Inc.
  Oxnard, CA
  Oxnard, CA

Other Businesses

1. NAME OF OTHER BUSINESS: COLONIAL LIFE INVESTMENT RELATED: NO ADDRESS: COLUMBIA, SC NATURE OF BUSINESS: GROUP DISABILITY & CRITICAL CARE INSURANCE; BRIDGE HEALTH INSURANCE START DATE: 07/2013 APX NUMBER OF HOURS PER WEEK: 10 HRS/WEEK APX NUMBER OF HOURS DURING TRADING HOURS: 10 HRS/WEEK BRIEF DESCRIPTION OF DUTIES: SALES 2. NAME OF OTHER BUSINESS: JAMES PARKER JR.; INVESTMENT RELATED: NO; ADDRESS: 137 SHERLYN LANE SAPULPA OK 73044; NATURE OF BUSINESS: RENTAL REAL ESTATE; START DATE: 1987; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: PROPERTY MAINTENANCE AND GENERAL UPKEEP; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 3/2022 APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE;

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-05-13
• S63 Uniform Securities Agent State Law Examination
  1996-04-19

Other Names

• James Parker