W. James Steen

Current Employers

Employment History

• 01/2013 → Present
  Cetera Advisors Llc
  El Segundo, CA
• 01/2001 → Present
  Petra Financial Solutions, Inc
  Dayton, OH
• 01/2021 → Present
  Dayton Wealth Management, Llc
  Dayton, OH
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 04/2024 → Present
  Prosperity Advisors, Llc
  Overland Park, KS

Previous Registrations

• 1999-10-29 → 2005-11-09
  Petra Capital Management Group, Inc.
  Dayton, OH
• 1999-12-07 → 2004-01-01
  Vestax Securities Corporation
  Dayton, OH

Other Businesses

1.NAME OF OTHER BUSINESS: PEAK ADVISORY GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/2020, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; FIXED INSURANCE; START 5/2015; 1 HOURS/WEEK; VARIES DURING TRADING AND NON-TRADING HOURS; INSURANCE AGENT; SELLS ANNUITIES, AND LONG TERM CARE. 3. DAYTON WEALTH MANAGEMENT, LLC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, LLC, STARTED 01/2001, PARTNER, BRIEF DESCRIPTION OF DUTIES EXPENSE MANANGEMENT; 4. NAME OF OTHER BUSINESS: PETRA FINANCIAL SOLUTIONS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 1/2002; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION; 5. NAME OF OTHER BUSINESS: PROSPERITY ADVISORS, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2024, POSITION/TITLE/RELATIONSHIP: MINORITY OWNER/FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S63 Uniform Securities Agent State Law Examination
  1981-05-28

Designations

Other Names

• W James Steen
• Jim Steen
• William James Steen
• William James Steen
• W. James Steen