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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

James A. Matthews

Advisor at OSAIC INSTITUTIONS, INC.

Santa Fe, TX

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Search this name across graphsid dfx:ria:733d1e33-9644-dbbd-b75f-7103b2c9a580

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Sep 20, 2021 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: OSAIC INSTITUTIONS, INC.
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: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 17, 2021
First registration: Sep 20, 2021
Dual registered: yes, broker-dealer
Other names: James Arthur Matthews|James Arthur Matthews
IAPD individual key: 7361225

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
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Dec 1, 2025	n/a	yes	Santa Fe, TX	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 22, 2024	Nov 21, 2025	no	WEBSTER, TX	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Mar 14, 2024	Mar 22, 2024	no	WEBSTER, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Nov 1, 2022	Mar 2, 2024	no	HOUSTON, TX	Previous registration
MORGAN STANLEY	Wirehouse	Sep 20, 2021	Feb 17, 2022	no	Temple Terrace, FL\|Tampa, FL	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
CETERA INVESTMENT ADVISERS LLC	OSAIC INSTITUTIONS, INC.	Nov 21, 2025	Dec 1, 2025	10	Firm change	Ibd to ibd
CETERA ADVISORS LLC	CETERA INVESTMENT ADVISERS LLC	Mar 22, 2024	Mar 22, 2024	0	Bulk transfer	Ibd to ibd
J.P. MORGAN SECURITIES LLC	CETERA ADVISORS LLC	Mar 2, 2024	Mar 14, 2024	12	Firm change	Wirehouse to ibd
MORGAN STANLEY	J.P. MORGAN SECURITIES LLC	Feb 17, 2022	Nov 1, 2022	257	Firm change	Wirehouse to wirehouse

Team moves

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

Team	Left	Joined	From	Kind
149777:79:FL:2022-02-07	Feb 17, 2022	Nov 1, 2022	TAMPA, FL	Firm change

Relationships

Registered with (5)

→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: current employment
Dec 1, 2025 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 22, 2024 to Nov 21, 2025factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Mar 14, 2024 to Mar 22, 2024factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Nov 1, 2022 to Mar 2, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 20, 2021 to Feb 17, 2022factForm ADV

Dated events

Occurred
Nov 21, 2025
Advisor changed firm
James A. Matthews left Cetera Investment Advisers Llc for Osaic Institutions, Inc. (registered 2025-12-01)
Form ADVobserved 6 days ago
Occurred
Mar 2, 2024
Advisor changed firm
James A. Matthews left J.P. Morgan Securities Llc for Cetera Advisors Llc (registered 2024-03-14)
Form ADVobserved 6 days ago
Occurred
Feb 17, 2022
Advisor changed firm
James A. Matthews left Morgan Stanley for J.P. Morgan Securities Llc (registered 2022-11-01)
Form ADVobserved 6 days ago