James Shaun Dolan

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
NY	RA	APPROVED	2026-07-31

NY RA
APPROVED

Since 2026-07-31

Branch Locations

Oceanside, NY • 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
Richard James & Associates	Oceanside	NY	10/2013	03/2017
Aegis Capital Corp	Melville	NY	06/2015	10/2023
Cetera Wealth Services, Llc	El Segundo	CA	07/2026	Present
Agilant Solutions	Port Washington	NY	10/2023	04/2026
Unemployed	Port Washington	NY	04/2026	07/2026
Cetera Investment Advisers Llc	Schaumburg	IL	07/2026	Present

10/2013 → 03/2017

Richard James & Associates

Oceanside, NY
06/2015 → 10/2023

Aegis Capital Corp

Melville, NY
07/2026 → Present

Cetera Wealth Services, Llc

El Segundo, CA
10/2023 → 04/2026

Agilant Solutions

Port Washington, NY
04/2026 → 07/2026

Unemployed

Port Washington, NY
07/2026 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2005-05-03 → 2007-01-10

Partners Capital Services, Inc.

Hauppauge, NY

Other Businesses

1. NAME OF OTHER BUSINESS: OMNI FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 8/2026 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: COMPASS INVESTMENT RELATED: NO ADDRESS: 300 DUNES BLVD SUITE 103 NAPLES, FL 34110 NATURE OF BUSINESS: REAL ESTATE START DATE: 05/2026 POSITION/TITLE/RELATIONSHIP: REAL ESTATE ASSOCIATE APX NUMBER OF HOURS PER WEEK: 8 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: REPRESENTING BUYERS AND SELLERS PURCHASING AND SELLING OF RESIDENTIAL HOMES AND CONDOS;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-07-29
S65	Uniform Investment Adviser Law Examination	2005-04-07
S63	Uniform Securities Agent State Law Examination	1994-12-20

S66 Uniform Combined State Law Examination

2026-07-29
S65 Uniform Investment Adviser Law Examination

2005-04-07
S63 Uniform Securities Agent State Law Examination

1994-12-20

View on SEC IAPD