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James H Keller

Cetera Advisors LLC

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About James H Keller

James Keller has been in the securities industry since December 10, 2001. James is currently registered with Cetera Advisors LLC in Boulder, Colorado. James holds Series 6, 7 and 63 licenses. James was previously registered with FIRST ALLIED SECURITIES, INC. and JANUS DISTRIBUTORS, INC..

Firm Information

James Keller is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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James Keller’s Registration & Firm History

CO

09/08/2022 - Present

Cetera Advisors LLC (BOULDER CO)

CO

04/09/2003 - 09/08/2022

FIRST ALLIED SECURITIES, INC. (BOULDER CO)

CO

01/28/1999 - 05/25/2000

JANUS DISTRIBUTORS, INC. (DENVER CO)

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Licenses & Designations

BC

Issued 03/16/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/27/2004

Series 7 - General Securities Representative Examination

BC

Issued 01/26/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James H Keller.
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