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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

JAMES WILLIAM ROBINSON

Advisor at CETERA INVESTMENT ADVISERS LLC

MONROE, NC

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Search this name across graphsid dfx:ria:162e7bab-8629-c595-0072-2ca831729c48

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 3, 2015 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 8, 2014
First registration: Feb 3, 2015
Dual registered: yes, broker-dealer
Other names: JAMES WILLIAM ROBINSON|JAMES WILLIAM ROBINSON|James W Robinson
IAPD individual key: 6388861

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 30, 2020	n/a	yes	MONROE, NC	Current employment
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Sep 26, 2017	Sep 16, 2019	no	Spartanburg, SC\|Anderson, SC\|Seneca, SC\|WAVERLY, IA\|Anderson, SC\|Clemson, SC\|Greenville, SC	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jan 23, 2017	Jul 28, 2017	no	Columbia, SC\|MT. PLEASANT, SC	Previous registration
EDWARD JONES	National bd RIA	Feb 3, 2015	Nov 29, 2016	no	TRAVELERS REST, SC\|ST LOUIS, MO\|GREENVILLE, SC\|TRAVELERS REST, SC\|ST LOUIS, MO\|GREENVILLE, SC\|GREENVILLE, SC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CUNA BROKERAGE SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Sep 16, 2019	Sep 30, 2020	380	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	CUNA BROKERAGE SERVICES, INC.	Jul 28, 2017	Sep 26, 2017	60	Firm change	Other
EDWARD JONES	PRUCO SECURITIES, LLC	Nov 29, 2016	Jan 23, 2017	55	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 30, 2020 to presentfactForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Sep 26, 2017 to Sep 16, 2019factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 23, 2017 to Jul 28, 2017factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 3, 2015 to Nov 29, 2016factForm ADV

Dated events

No dated event names this entity yet.