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RIA / WealthAdvisorCertified Financial Planner16 years in industry

JAMES L ALEXANDER

Advisor at CERITY PARTNERS LLC

NEW YORK, NY | WHEATON, IL

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Search this name across graphsid dfx:ria:4e709625-1ec8-b140-ac4b-389ee43c18dd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2017 to Sep 15, 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: CERITY PARTNERS LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Aug 16, 2010
First registration: Jan 30, 2017
Dual registered: no
IAPD individual key: 5718392

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
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS	Institutional manager	Apr 6, 2026	n/a	yes	NEW YORK, NY\|WHEATON, IL	Current employment
CERITY PARTNERS LLC	Independent wealth	Mar 5, 2026	n/a	yes	WHEATON, IL\|NEW YORK, NY	Current employment
EDGE FINANCIAL ADVISORS, LLC	Former SEC adviser	Oct 21, 2019	Mar 23, 2026	no	WHEATON, IL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 27, 2018	Oct 18, 2019	no	TINLEY PARK, IL\|Schaumburg, IL	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Oct 18, 2019	no	OMAHA, NE\|TINLEY PARK, IL\|Schaumburg, IL	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Jan 30, 2017	Feb 26, 2018	no	SAINT LOUIS, MO	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
EDGE FINANCIAL ADVISORS, LLC	CERITY PARTNERS LLC	Mar 23, 2026	Mar 5, 2026	-18	Firm change	RIA to RIA
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Oct 18, 2019	Feb 27, 2018	-598	Channel change	Other
TD AMERITRADE, INC.	EDGE FINANCIAL ADVISORS, LLC	Oct 18, 2019	Oct 21, 2019	3	Firm change	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
136426:151559:IL:2026-03-23	Mar 23, 2026	Mar 5, 2026	WHEATON, IL	Firm change

Relationships

Registered with (6)

→ CERITY PARTNERS RETIREMENT PLAN CONSULTANTSRegistered adviserregistration: current employment
Apr 6, 2026 to presentfactForm ADV
→ CERITY PARTNERS LLCRegistered adviserregistration: current employment
Mar 5, 2026 to presentfactForm ADV
→ EDGE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 21, 2019 to Mar 23, 2026factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to Oct 18, 2019factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 27, 2018 to Oct 18, 2019factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jan 30, 2017 to Feb 26, 2018factForm ADV

Dated events

Occurred
Mar 23, 2026
Advisor changed firm
James L Alexander left Edge Financial Advisors, Llc for Cerity Partners Llc (registered 2026-03-05)
Form ADVobserved 5 days ago