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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames C Whitis is an investment advisor representative with Cetera Investment Advisers LLC. James has over 30 years of experience in the financial services industry and holds Series 7, 24, 63, 65, 99TO, and SIE licenses. James provides financial planning, portfolio management for individuals and businesses, and pension consulting services to individuals, high-net-worth individuals, charitable organizations, pension and profit-sharing plans, corporations or other businesses, and state or municipal government entities. Prior to joining Cetera Investment Advisers, James worked at First Allied Securities, Inc., Raymond James Financial Services, Inc., and Morgan Stanley DW Inc.
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
KY
09/01/2023 - Present
Cetera Investment Advisers LLC (SOMERSET KY)
KY
09/16/2005 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (Somerset KY)
FL
08/05/2003 - 09/21/2005
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
NY
06/21/1990 - 07/15/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 4/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/26/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/9/2006
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/16/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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