James Albert Steele

Financial advisor at Cetera Investment Advisers · Sandwich, MA

Last updated 2026-10-10

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James Albert Steele is a financial advisor at Cetera Investment Advisers in Sandwich, MA, CRD 1898956. Licenses and exams on the registration: Series 63, Series 66. IAPD registration began 2004-01-15.

Registration

CRD number
1898956
Registration status
Active
IAPD registration
2004-01-15
Industry Experience
22 years
Work Experience
10 years
States registered
MA

Licenses and exams

  • Series 63
  • Series 66

Work history

  • 2016-10 to Present · Cetera Advisors LLC · Denver, CO
  • 2024-03 to Present · Cetera Investment Advisers LLC · Schaumburg, IL

Current employment

SEC IAPD record for James Albert Steele

Cetera Investment Advisers

Regulatory AUM
$256,813,748,739
Registered advisors
10,370
Offices
7,392
Clients per advisor
78.5 (Moderate)
Average AUM per client
$315.5K (Low)
High-net-worth client ratio
9.7% (Low)

Cetera Investment Advisers: advisors, services and reported ETF investments

About

James Albert Steele is a financial advisor at Cetera Investment Advisers LLC, operating as Cetera Investment Advisers in Sandwich, MA. Reported securities licenses include Series 63 and Series 66. The latest record indicates 22 years of industry experience and 10 years of reported work history. Reported roles include Cetera Advisors LLC.

Cetera Investment Advisers' firm-level Form ADV reports 10,370 advisors across 7,392 offices; approximately 78.5 clients per advisor, average assets per client of $315,511, and regulatory AUM of $256.8B; client categories including Individuals (non-HNW), High net worth individuals, Pension and profit-sharing plans, Charitable organizations, State or municipal government entities, Corporations or other businesses; services including Financial Planning Services, Portfolio Management: Individuals and Small Businesses, Portfolio Management: Businesses or Institutional Clients, Pension Consulting Services, Selection of Other Advisers.

PortfolioFuture's firm-level 13F analysis covers $73.1B across 1,688 reported ETF positions for the 2026-06-30 reporting period. These are firm-level disclosures, not investments attributed to James Albert Steele personally.

Reported ETF positions

Cetera Investment Advisers reports 1,688 ETF positions worth $73.1B on Form 13F; the largest are listed.

Largest ETF positions reported by Cetera Investment Advisers
FundReported value
IVV — iShares Core S&P 500 ETF$3.6B
VTV — Vanguard Morningstar Value ETF$1.7B
QQQ — Invesco QQQ Trust, Series 1$1.7B
AGG — iShares Core U.S. Aggregate Bond ETF$1.5B
VOO — Vanguard S&P 500 ETF$1.5B

Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.

What this firm offers

Filed by Cetera Investment Advisers on Form ADV.

Client services

  • Financial Planning Services
  • Individuals and Small Businesses
  • Businesses or Institutional Clients
  • Pension Consulting Services
  • Selection of Other Advisers
  • Educational Seminars or Workshops

Fee options

  • Percentage of Assets Under Management
  • Hourly Charges
  • Fixed Fees (Other Than Subscription)

Business and affiliations

  • Broker-Dealer or Municipal Securities Dea
  • Other Investment Adviser (Incl. Financial
  • Registered Municipal Advisor
  • Trust Company
  • Insurance Company or Agency
  • Pension Consultant

Location

Sandwich, MA

3 advisors at this office.

Cetera Investment Advisers office in Sandwich, MA

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Contact

The firm's filed contact details.

Official record

View the official SEC IAPD record

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