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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 Middlesworth is an investment advisor representative. James has been in the securities industry since August 2, 1990 and has been with Cetera Investment Advisers LLC since June 29, 2023. Prior to that, James was an investment advisor representative with Summit Brokerage Services, Inc. James's specializations include portfolio management for individuals, portfolio management for businesses, selection of other advisers, financial planning, pension consulting and educational seminars. James's current registration is with the state of Hawaii. James holds the following licenses: Series 7, Series 6, Series 63, Series 26, Series 65, and SIE.
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
HI
06/29/2023 - Present
Cetera Investment Advisers LLC (HONOLULU HI)
HI
09/01/2016 - 09/20/2019
SUMMIT BROKERAGE SERVICES, INC. (HONOLULU HI)
HI
09/02/2016 - 11/02/2016
VSR FINANCIAL SERVICES, INC. (HONOLULU HI)
HI
08/17/2009 - 09/01/2016
VSR FINANCIAL SERVICES, INC. (HONOLULU HI)
HI
12/11/2008 - 08/18/2009
AXA ADVISORS, LLC (HONOLULU HI)
HI
10/31/2005 - 12/15/2008
AIG FINANCIAL ADVISORS, INC. (HONOLULU HI)
AZ
05/02/1995 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
GA
01/05/1993 - 05/03/1995
IFG NETWORK SECURITIES, INC. (ATLANTA GA)
GA
01/08/1992 - 12/31/1992
PLANNED INVESTMENTS INC. (ATLANTA GA)
GA
07/30/1990 - 01/15/1992
FIRST AMERICAN NATIONAL SECURITIES, INC. (DULUTH GA)
IA
Issued 7/27/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/20/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/7/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/26/2005
Series 7 - General Securities Representative Examination
BC
Issued 7/27/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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