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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

JAMES LEE HALL

Advisor at CETERA INVESTMENT ADVISERS LLC

BENTONVILLE, AR

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Search this name across graphsid dfx:ria:fce20bd7-2298-dd83-c36b-bd75bee28d9d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 25, 2006 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: Mar 28, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Mar 28, 1995
First registration: Oct 25, 2006
Dual registered: yes, broker-dealer
Other names: JIM L HALL
IAPD individual key: 1305791

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	Nov 12, 2020	n/a	yes	BENTONVILLE, AR	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Nov 12, 2020	no	CHESTERFIELD, MO\|ROGERS, AR\|RUSSELLVILLE, AR\|ROGERS, AR\|Bentonville, AR\|Bentonville, AR	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Feb 25, 2011	Jul 2, 2012	no	RUSSELLVILLE, AR\|Bentonville, AR\|SAN DIEGO, CA\|ROGERS, AR\|Bentonville, AR	Previous registration
EDWARD JONES	National bd RIA	Oct 25, 2006	Mar 1, 2011	no	SPRINGDALE, AR	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
FIRST ALLIED ADVISORY SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other
EDWARD JONES	FIRST ALLIED SECURITIES, INC.	Mar 1, 2011	Feb 25, 2011	-4	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Nov 12, 2020 to presentfactForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Feb 25, 2011 to Jul 2, 2012factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Oct 25, 2006 to Mar 1, 2011factForm ADV

Dated events

No dated event names this entity yet.