James Jessup Williams

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

• 09/2003 → Present
  Williams Financial Advisors, Inc.
  San Juan Capistrano, CA
• 01/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2007-07-18 → 2008-04-02
  Associated Securities Corp.
  San Juan Capistrano, CA
  San Juan Capistrano, CA
• 2004-06-29 → 2008-04-02
  Associated Planners Investment Advisory Inc
  San Juan Capistrano, CA
  San Juan Capistrano, CA

Other Businesses

1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 2008, <1HR/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. JAMES WILLIAMS, NOT INVESTMENT RELATED, 25632 GOLDENSPRING DRIVE, DANA POINT, CA 92629, PERSONAL REAL ESTATE - RENTAL PROPERTIES, START 2012, <1HR/WK (NON-TRADING HOURS), OWNER OF PROPERTIES THAT ARE RENTED; 3. WILLIAMS FINANCIAL ADVISORS, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR SECURITIES BUSINESS, START 2008, 40HRS/WK (32.5 TRADING HOURS), VICE-PRESIDENT AND FINANCIAL ADVISOR; 4.NAME OF OTHER BUSINESS: CASA DE AMA INVESTMENT RELATED: NO ADDRESS: 27231 CALLE ARROYO, SAN JUAN CAPISTRANO, CA 92675 NATURE OF BUSINESS: SPECIAL NEEDS ADULTS HOME START DATE: 4/2017 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER BRIEF DESCRIPTION OF DUTIES: SUPPORT WITH LEADERSHIP & STRATEGIC GOVERNANCE

Exams

• S63 Uniform Securities Agent State Law Examination
  2001-01-13

Designations

• Certified Financial Planner