James Derek Cook

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
ME	RA	APPROVED	2026-04-16

ME RA
APPROVED

Since 2026-04-16

Branch Locations

41 Townsend Ave, Boothbay Harbor, ME 04538 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Key Investment Services Llc	Portland	ME	03/2014	10/2019
Cetera Investment Services Llc	St Cloud	MN	09/2025	Present
First Federal Savings & Loan Association Of Bath	Boothbay Harbor	ME	03/2025	Present
Wex Inc.	Portland	ME	08/2023	03/2025
Keybank	Brunswick	ME	10/2019	08/2023
Cetera Investment Advisers Llc	Boothbay Harbor	ME	04/2026	Present

03/2014 → 10/2019

Key Investment Services Llc

Portland, ME
09/2025 → Present

Cetera Investment Services Llc

St Cloud, MN
03/2025 → Present

First Federal Savings & Loan Association Of Bath

Boothbay Harbor, ME
08/2023 → 03/2025

Wex Inc.

Portland, ME
10/2019 → 08/2023

Keybank

Brunswick, ME
04/2026 → Present

Cetera Investment Advisers Llc

Boothbay Harbor, ME

Other Businesses

1. BRANCH MANAGER AND LOAN OFFICER FOR FIRST FEDERAL SAVINGS & LOAN 2. INSURANCE AND FIXED ANNUITIES THROUGH JBC/JACKSON BROKERAGE AND FIRST FEDERAL BANK AGENCY; POA FOR MOTHER, JOANN COOK 3. NOTARY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-04-15
S63	Uniform Securities Agent State Law Examination	2015-03-19

S66 Uniform Combined State Law Examination

2026-04-15
S63 Uniform Securities Agent State Law Examination

2015-03-19

View on SEC IAPD

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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