James Taylor

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

• 02/2023 → 12/2025
  Wells Fargo Advisors Financial Network, Llc
  Fond Du Lac, WI
• 08/2021 → 03/2022
  Fox Rehabilitation
  Cherry Hill, NJ
• 06/2008 → 08/2021
  Taylored Rehab
  Fond Du Lac, WI
• 04/2022 → 12/2022
  Unemployed
  Fond Du Lac, WI
• 03/2020 → Present
  St. Marys Springs Academy
  Fond Du Lac, WI
• 12/2025 → Present
  Cetera Advisors Llc
  St Cloud, MN
• 12/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2023-05-12 → 2025-12-23
  Wells Fargo Advisors Financial Network, Llc
  Fond Du Lac, WI

Other Businesses

1. NAME OF OTHER BUSINESS: MORNING ROTARY INVESTMENT RELATED: NO ADDRESS: FOND DU LAC, WI 54936 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 12/2022 POSITION/TITLE/RELATIONSHIP: SERGEANT AT ARMS APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES:I SET UP FOR MEETINGS AND TAKE DOWN EQUIPMENT AFTER MEETINGS, I WELCOME MEMBERS TO THE MEETING; 2. NAME OF OTHER BUSINESS: FONDY FOOD PANTRY INVESTMENT RELATED: NO ADDRESS: FOND DU LAC, WI 54937 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 1/2025 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: .5 BRIEF DESCRIPTION OF DUTIES: GIVE ADVICE ON THE DAY TO DAY OPERATION OF THE FONDY FOOD PANTRY, VOTE ON ITEMS NEEDED FOR THE PANTRY; 3. NAME OF OTHER BUSINESS: MORAINE PARK TECHNICAL COLLEGE INVESTMENT RELATED: NO ADDRESS: FOND DU LAC, WI 54935 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 2/2024 POSITION/TITLE/RELATIONSHIP: ADVISORY COMMITTEE MEMBER APX NUMBER OF HOURS PER WEEK: .1 APX NUMBER OF HOURS DURING TRADING HOURS: .1 BRIEF DESCRIPTION OF DUTIES: HELP AND ADVISE ON CURRICULUM FOR THEIR FINANCE DEGREE, HELPING THE TECHNICAL COLLEGE GIVE THE BEST COURSES TO STUDENTS; 4. NAME OF OTHER BUSINESS: ST. MARYS SPRINGS ACADEMY INVESTMENT RELATED: NO ADDRESS: FOND DU LAC, WI 54937 NATURE OF BUSINESS: HIGH SCHOOL START DATE: 03/2020 POSITION/TITLE/RELATIONSHIP: COACH APX NUMBER OF HOURS PER WEEK: 24 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: COACH TRACK AND FIELD DURING THE SCHOOL SEASON, FROM MARCH THRU MAY. I COACH SHOT PUT AND DISCUS; 5. NAME OF OTHER BUSINESS: LEDGEVEST FINANCIAL, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES START DATE: 01/2023 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR FOR MY CLIENTS, COMMISSION BASED AND FIDUCIARY BASED BUSINESS

Exams

• S66 Uniform Combined State Law Examination
  2023-05-12

Other Names

• Jim Taylor