James Gregory Gibbs

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

• 01/2009 → 09/2019
  Summit Brokerage Services Inc
  Ashland, KY
• 09/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 01/2009 → 05/2021
  Summit Financial Group
  Ashland, KY
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2009-01-06 → 2021-05-20
  Summit Financial Group Inc
  Ashland, KY
• 2008-01-01 → 2009-01-27
  Wells Fargo Clearing Services, Llc
  Ashland, KY
• 2006-05-19 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Ashland, KY
  St. Louis, MO
• 1999-11-16 → 2006-05-19
  Morgan Stanley Dw Inc.
  Ashland, KY
  Ashland, KY

Other Businesses

(1) AMERICAN MANDARIN RESTAURANT, 915 13TH STREET, ASHLAND, KY 41101. THE TYPE OF BUSINESS: BUILDING LEASE. - 50% OWNERSHIP - DUTIES: BUILDING UPKEEP-NONE DURING BUSINESS HOURS (2) CHECKERS LAUNDROMAT, 1001 13TH STREET, ASHLAND, KY 41101. THE TYPE OF BUSINESS: TANNING SALON AND LAUNDRY COIN OPERATED MACHINES. - 50% OWNERSHIP - WIFE OPERATES BUSINESS - REP HAS DAILY INPUT. (3) INSURANCE PRODUCTS - VARIOUS CARRIERS - 10 HRS MONTH DURING BUSINESS HRS. (4) ZTB ENTERPRISES LLC-SINCE 11/01/2006; 5048 BANBURY RD,ASHLAND KY;OWNER;0 HRS AMONTH;RENTAL PROPERTY: (5) NAME OF OTHER BUSINESS: SHANNCO LLC DBA BLUEGRASS INN ; INVESTMENT RELATED: NO ; ADDRESS: 5048 BANBURY RD, ASHLAND, KY 41101 ; NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 11/2006 ; POSITION/TITLE/RELATIONSHIP: PARTNER ; APX NUMBER OF HOURS PER WEEK: NONE ; APX NUMBER OF HOURS DURING TRADING HOURS: NONE ; BRIEF DESCRIPTION OF DUTIES: PARTNER ;

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-11-02
• S63 Uniform Securities Agent State Law Examination
  1999-02-05

Other Names

• Jim Gibbs
• Jimmy Gibbs