Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Steele is a registered investment advisor with Cetera Investment Advisers LLC. James has been in the financial industry for over 30 years and holds a Series 6, 7, and 66 license. James is registered in Connecticut, Maryland, Massachusetts, New Hampshire, and South Carolina. James also holds a Series 63 license, and has been registered with the Securities and Exchange Commission (SEC) since 2024. James specializes in providing financial planning and investment advice to individuals, families, and businesses. Previously James worked at Investors Capital Corporation for 14 years and Morgan Stanley DW INC. for 3 years. James' previous affiliations also include MetLife Securities Inc. and Metropolitan Life Insurance Company.
SANDWICH, MA
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
MA
04/01/2024 - Present
Cetera Investment Advisers LLC (SANDWICH MA)
MA
04/01/2002 - 10/03/2016
INVESTORS CAPITAL CORP. (Sandwich MA)
NY
10/22/1999 - 04/01/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
MA
01/27/1989 - 08/24/1999
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
01/27/1989 - 08/24/1999
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 11/22/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 4/7/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1999
Series 7 - General Securities Representative Examination
BC
Issued 1/23/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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