James Alan Issel

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

• 01/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2004-01-02 → 2011-12-16
  Mack Investment Securities, Inc.
  Northfield, IL
  Wayne, IL
• 1999-06-07 → 2008-12-31
  Heritage Capital Management Inc
  Wayne, IL
• 1999-10-12 → 2003-12-31
  Sterling Portfolio Allocation Service Inc
  Wayne, IL

Other Businesses

1. NAME OF OTHER BUSINESS: EXEMPLAR ACCOUNTING AND TAX, INC. INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: DBA FOR ACCOUNTING BUSINESS POSITION/TITLE/RELATIONSHIP: EMPLOYEE START DATE: 12/01/2011 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: CROSS REFERRALS OF SECURITIES AND TAX BUSINESS; 2. NAME OF OTHER BUSINESS: VARIOUS INSURANCE COMPANIES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: OFFER FIXED LIFE, HEALTH, ANNUITIES AND LTC; 3. NAME OF OTHER BUSINESS: WALTER V. ISSEL TRUST INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: TRUSTEE DUTIES POSITION/TITLE/RELATIONSHIP: SUCCESSOR TRUSTEE FOR FATHER'S TRUST ACCOUNT START DATE: 02/17/1995 APX NUMBER OF HOURS PER WEEK: 15 MINUTES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: MANAGE SMALL INVESTMENT ACCOUNT; 4. NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL ADDRESS NATURE OF BUSINESS: LEGAL START DATE: 09/2018 POSITION/TITLE/RELATIONSHIP: EXECUTOR APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: EXECUTOR OF WILL, PROPERTY AND HEATH CARE POA FOR SIBLING 5. NAME OF OTHER BUSINESS: DUPAGE COUNTY ELECTION DIVISION; INVESTMENT RELATED: NO; ADDRESS: 30W350 ARMY TRAIL ROAD WAYNE, IL 60184; NATURE OF BUSINESS: ELECTION SERVICES; START DATE: 11/2024; POSITION/TITLE/RELATIONSHIP: ELECTION JUDGE; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 7; BRIEF DESCRIPTION OF DUTIES: PROCESSING BALLOTS AT POLLING PLACE;

Exams

• S63 Uniform Securities Agent State Law Examination
  1991-02-22

Designations

• Chartered Financial Consultant