James Edward Hearns

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:

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
TX	RA	APPROVED_RES	2024-01-30
IL	RA	APPROVED	2023-06-29
WI	RA	APPROVED	2023-06-29
FL	RA	APPROVED	2023-04-07

TX RA
APPROVED_RES

Since 2024-01-30
IL RA
APPROVED

Since 2023-06-29
WI RA
APPROVED

Since 2023-06-29
FL RA
APPROVED

Since 2023-04-07

Branch Locations

Naples, FL • United States

Minocqua, WI • United States

600 East Lincoln Highway Suite A, New Lenox, IL 60451 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
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
James E Hearns And Associates	New Lenox	IL	01/1961	Present
Vsr Financial Services, Inc.	Overland Park	KS	05/1985	09/2016
Vsr Advisory Services	Overland Park	KS	08/2007	09/2016
Summit Brokerage Services, Inc.	New Lenox	IL	09/2016	09/2019
Summit Financial Group Inc	Boca Raton	FL	09/2016	05/2021
Cetera Wealth Services, Llc	El Segundo	CA	09/2019	Present
Cetera Investment Advisers Llc	Schaumburg	IL	03/2023	Present

01/1961 → Present

James E Hearns And Associates

New Lenox, IL
05/1985 → 09/2016

Vsr Financial Services, Inc.

Overland Park, KS
08/2007 → 09/2016

Vsr Advisory Services

Overland Park, KS
09/2016 → 09/2019

Summit Brokerage Services, Inc.

New Lenox, IL
09/2016 → 05/2021

Summit Financial Group Inc

Boca Raton, FL
09/2019 → Present

Cetera Wealth Services, Llc

El Segundo, CA
03/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2016-09-01 → 2021-05-20

Summit Financial Group Inc

Boca Raton, FL

New Lenox, IL

Naples, FL
2006-02-14 → 2016-09-01

Vsr Financial Services, Inc.

New Lenox, IL

Naples, FL

New Lenox, IL

Overland Park, KS

Overland Park, KS

Other Businesses

(1) - - DBA-JAMES E HEARNS AND ASSOCIATES LLC; NOT INVESTMENT RELATED; 600 EAST LINCOLN HIGHWAY, NEW LENOX, IL 60451; ACCOUNTING & TAX SERVICES.; RETIRED PARTNER; BEGAN 1960; 40 HOURS PER MONTH WITH 50 DURING TRADING HOURS; PROVIDES TAX PLANNING AND ACCOUNTING SERVICES. (2)- - 71 ORCHARDS LLC/TERESA'S ORCHARDS; NOT INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; PREVIOUSLY FRUIT ORCHARD BUSINESS; MANAGING PARTNER; STARTED 12/19/2011; APX 3 HOURS/MONTH ALL DURING TRADING; MANAGE ASSETS RECEIVED FROM SALE OF FORMER FRUIT ORCHARD BUSINESS (3) - - Theresa's Orchards LLC;at branch office;Manage assets received from sale of former fruit orchard business; 3 hrs a month all during trading hours (4) NAME OF OTHER BUSINESS: JAMES E HEARNS & ASSOCIATES, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS:15; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-10-14
S63	Uniform Securities Agent State Law Examination	1982-01-14

S65 Uniform Investment Adviser Law Examination

1993-10-14
S63 Uniform Securities Agent State Law Examination

1982-01-14

View on SEC IAPD