James Patrick McCloskey
Financial advisor at Cetera Investment Advisers · Newport Beach, CA
Last updated 2026-10-10
Claim your profileJames Patrick McCloskey is a financial advisor at Cetera Investment Advisers in Newport Beach, CA, CRD 2844851. Licenses and exams on the registration: Series 63, Series 65. IAPD registration began 2003-02-12.
Registration
- CRD number
- 2844851
- Registration status
- Active
- IAPD registration
- 2003-02-12
- Industry Experience
- 23 years
- Work Experience
- 43 years
- States registered
- CA
Licenses and exams
- Series 63
- Series 65
Work history
- 1996-12 to 2023-08 · Securian Financial Services Inc. · St. Paul, MN
- 1996-02 to Present · Tax & Financial Group · Newport Beach, CA
- 1996-12 to 2023-08 · Minnesota Life Ins Co. · St. Paul, MN
- 1983-03 to Present · Self-Employed · Huntington Beach, CA
- 2023-08 to Present · Cetera Wealth Services, LLC · Newport Beach, CA
- 2023-08 to Present · Cetera Investment Advisers LLC · Schaumburg, IL
Current employment
- Cetera Investment Advisers LLC · Schaumburg, IL
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 Patrick McCloskey is a financial advisor at Cetera Investment Advisers LLC, operating as Cetera Investment Advisers in Newport Beach, CA. Reported securities licenses include Series 63 and Series 65. The latest record indicates 23 years of industry experience and 43 years of reported work history. Reported roles include Cetera Wealth Services, LLC, Tax & Financial Group, Self-Employed, Securian Financial Services Inc., among others.
SEC disclosures list additional business and community activities: 1) James P: fixed-insurance sales and service.
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 Patrick McCloskey personally.
Reported ETF positions
Cetera Investment Advisers reports 1,688 ETF positions worth $73.1B on Form 13F; the largest are listed.
| Fund | Reported 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.
Noteworthy reported investments
Cetera Investment Advisers's strongest reported position on each research ranking. Institution-level evidence, not this advisor's or any client's holding.
| Ranking | Fund | Reported value | Percentile | Key figures |
|---|---|---|---|---|
| Similar Fund Ranking | CGDV — Capital Group Dividend Value ETF | $900.6M | Top 99.9% | Peer conviction 86.4% · Active return +5.44% |
| Addressable Market | DYNF — iShares U.S. Equity Factor Rotation Active ETF | $535.5M | Top 99.9% | Addressable AUM $14.9T · Peer conviction 86.8% |
| Residual Alpha | CGMU — Capital Group Municipal Income ETF | $142.1M | Top 99.8% | Residual alpha +0.94% · Residual Sharpe 0.22 |
| Diversification Benefits | IALT — iShares Systematic Alternatives Active ETF | $97.9M | Top 99.4% | Replicability (R²) 33.8% · Residual Sharpe 1.52 |
Historical comparisons from the published research release formed 2026-10-02; not forecasts or recommendations. 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
4001 MacArthur Blvd, Newport Beach, CA 92660
28 advisors at this office.
Contact
The firm's filed contact details.
- Phone: 310-257-7880
- Website: vimeo.com/FIRSTALLIED
Official record
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