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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

JAMES GREGORY GIBBS

Advisor at CETERA INVESTMENT ADVISERS LLC

ASHLAND, KY

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Search this name across graphsid dfx:ria:7616d010-85e4-a1f7-707f-a191f532a524

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 16, 1999 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: Feb 5, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 5, 1999
First registration: Nov 16, 1999
Dual registered: yes, broker-dealer
Other names: JIM GIBBS|JIMMY GIBBS
IAPD individual key: 3169220

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	Jan 16, 2024	n/a	yes	ASHLAND, KY	Current employment
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Jan 6, 2009	May 20, 2021	no	ASHLAND, KY	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Jan 27, 2009	no	ASHLAND, KY	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	May 19, 2006	Jan 1, 2008	no	ASHLAND, KY\|ST. LOUIS, MO	Previous registration
MORGAN STANLEY DW INC.	n/a	Nov 16, 1999	May 19, 2006	no	ASHLAND, KY\|ASHLAND, KY	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
SUMMIT FINANCIAL GROUP INC	CETERA INVESTMENT ADVISERS LLC	May 20, 2021	Jan 16, 2024	971	Bulk transfer	Ibd to ibd
WELLS FARGO ADVISORS	SUMMIT FINANCIAL GROUP INC	Jan 27, 2009	Jan 6, 2009	-21	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	A. G. EDWARDS & SONS, INC.	May 19, 2006	May 19, 2006	0	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jan 16, 2024 to presentfactForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Jan 6, 2009 to May 20, 2021factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Jan 27, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
May 19, 2006 to Jan 1, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Nov 16, 1999 to May 19, 2006factForm ADV

Dated events

No dated event names this entity yet.