James Abner Garland

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

• 09/2014 → 06/2021
  Voya Financial Advisors
  Westbrook, ME
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2007-08-10 → 2021-06-09
  Voya Financial Advisors, Inc.
  Grafton, MA
  Westbrook, ME
  Windsor, CT
• 2006-03-09 → 2007-07-18
  Securian Financial Services, Inc.
  Portland, ME
  Westbrook, ME
  Warwick, RI
• 2002-10-16 → 2006-02-21
  Pruco Securities, Llc.
  Westbrook, ME

Other Businesses

NAME OF ENTITY: Independent insurance agent; Yes; 477 LAFFIN DR WESTBROOK ME 04092; WESTBROOK; ME; 4092; FIXED INSURANCE SALES; Independent insurance agent; 4/4/2008; 8; 8; Sales of fixed insurance products.|

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-07-23
• S63 Uniform Securities Agent State Law Examination
  1989-05-31

Designations

• Certified Financial Planner
• Chartered Financial Consultant