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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

JAMES MATTHEW CHANEY

Advisor at CETERA INVESTMENT ADVISERS LLC

SPRINGFIELD, MO

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Search this name across graphsid dfx:ria:6feb7ef4-38b5-9f8b-12ef-5ec1ea5dbfc7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 2, 2001 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: Dec 29, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Dec 29, 1987
First registration: Oct 2, 2001
Dual registered: yes, broker-dealer
Other names: JIM CHANEY|JAMES CHANEY
IAPD individual key: 1752629

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	Jun 29, 2023	n/a	yes	SPRINGFIELD, MO	Current employment
GIRARD SECURITIES, INC.	Former SEC adviser	Sep 16, 2011	Nov 1, 2017	no	SAN DIEGO, CA\|SPRINGFIELD, MO\|CORPUS CHRISTI, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 9, 2009	Aug 27, 2010	no	SPRINGFIELD, MO	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Apr 13, 2009	no	SPRINGFIELD, MO\|OVERLAND PARK, KS	Previous registration
MORGAN STANLEY DW INC.	n/a	Oct 2, 2001	Apr 2, 2007	no	SPRINGFIELD, MO\|OVERLAND PARK, KS\|SPRINGFIELD, MO\|SPRINGFIELD, 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
GIRARD SECURITIES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 1, 2017	Jun 29, 2023	2,066	Firm change after gap	Other
WELLS FARGO ADVISORS	GIRARD SECURITIES, INC.	Aug 27, 2010	Sep 16, 2011	385	Firm change	Other
MORGAN STANLEY & CO. LLC	WELLS FARGO ADVISORS	Apr 13, 2009	Apr 9, 2009	-4	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
18697:105644:TX:2017-11-01	Nov 1, 2017	Jun 29, 2023	CORPUS CHRISTI, TX	Firm change after gap

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ GIRARD SECURITIES, INC.Registered adviserregistration: previous registration
Sep 16, 2011 to Nov 1, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 9, 2009 to Aug 27, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Apr 13, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Oct 2, 2001 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.