James Lee Hall

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
AR	RA	APPROVED	2020-11-12
TX	RA	APPROVED_RES	2020-11-12

AR RA
APPROVED

Since 2020-11-12
TX RA
APPROVED_RES

Since 2020-11-12

Branch Locations

Bentonville, AR • 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
First Allied Securities, Inc.	San Diego	CA	02/2011	09/2022
First Allied Advisory Services, Inc.	Chesterfield	MO	07/2012	11/2020
First Allied Advisory Services	Schaumburg	IL	11/2020	11/2020
Cetera Advisors Llc	Russellville	AR	09/2022	Present
Cetera Investment Advisers Llc	Schaumburg	IL	11/2020	Present

02/2011 → 09/2022

First Allied Securities, Inc.

San Diego, CA
07/2012 → 11/2020

First Allied Advisory Services, Inc.

Chesterfield, MO
11/2020 → 11/2020

First Allied Advisory Services

Schaumburg, IL
09/2022 → Present

Cetera Advisors Llc

Russellville, AR
11/2020 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2012-07-02 → 2020-11-12

First Allied Advisory Services, Inc.

Chesterfield, MO

Rogers, AR

Russellville, AR

Rogers, AR

Bentonville, AR

Bentonville, AR
2011-02-25 → 2012-07-02

First Allied Securities, Inc.

Russellville, AR

Bentonville, AR

San Diego, CA

Rogers, AR

Bentonville, AR
2006-10-25 → 2011-03-01

Edward Jones

Springdale, AR

Other Businesses

1.) HARVEST INVESTMENT STRATEGIES, LLC; OWNER; DBA; START DATE: 02/25/2011; 160 PER MONTH. 2.) HARVEST INVESTMENT STRATEGIES; AGENT; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 06/15/2011; 4 HRS. PER MONTH. 3.) HARVEST PROPERTIES, LLC; MANAGING MEMBER; RENTAL PROPERTY/PASSIVE INVESTMENT; START DATE 1/1/2017; 1 HOURS PER WEEK. 4.) NAME OF OTHER BUSINESS: UNKNOWN GOLF INVESTMENT RELATED: NO; ADDRESS: 5204 VILLAGE PARKWAY STE 11 PMB #174 ROGERS, AR 72758; NATURE OF BUSINESS: MOBILE GOLF APP; START DATE: 03/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 12-20; APX NUMBER OF HOURS DURING TRADING HOURS: 12-20; BRIEF DESCRIPTION OF DUTIES: MARKETING, PROMOTIONS & SALES CONSULTING FOR MOBILE APP FOR GOLF;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-07-05
S63	Uniform Securities Agent State Law Examination	1995-03-28

S65 Uniform Investment Adviser Law Examination

1996-07-05
S63 Uniform Securities Agent State Law Examination

1995-03-28

Other Names

Jim L Hall

View on SEC IAPD