James Lee Harrold

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
IL	RA	APPROVED	2002-07-12

IL RA
APPROVED

Since 2002-07-12

Branch Locations

100 S Center St Suite 102, Clinton, IL 61727 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Financial Specialists Llc	Schaumburg	IL	11/1991	Present
Cetera Investment Advisers Llc	Schaumburg	IL	07/2002	Present
Harrold Financial Consulting	Clinton	IL	08/2011	Present

11/1991 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
07/2002 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
08/2011 → Present

Harrold Financial Consulting

Clinton, IL

Other Businesses

1) HARROLD FINANCIAL CONSULTING; INV REL; CLINTON, IL; SOLE PROPRIETOR, DBA FOR INVESTMENT RELATED ACTIVITIES; START DATE 8/25/11; 70% OF TIME DEVOTED/MTH:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-06-29
S63	Uniform Securities Agent State Law Examination	1991-10-17

S66 Uniform Combined State Law Examination

2002-06-29
S63 Uniform Securities Agent State Law Examination

1991-10-17

Other Names

James Lee Harrold

View on SEC IAPD

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

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