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Detailed Report
James Dugelman
JAMES WILLIAM DUGELMAN, JAMES WILLIAM DUGELMANN
CRD#: 6059092
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 400 ROBERT ST N
STE 800
ST PAUL, MN 55101
CETERA ADVISORS LLCCRD#: 10299 400 ROBERT STREET NORTH
SUITE 800
SAINT PAUL, MN 55101
Registration History
201220142016201820202022202420262 FIRMS2022 - 2023 (1 year)5 FIRMS2023 - Present (1 year)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2012 - 2022 (9 years)IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2014 - 2022 (7 years)
License(s)

State Registrations

B
Minnesota 8/10/2023
IA
Minnesota 8/10/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CETERA ADVISORS LLC (CRD#:10299)
400 ROBERT STREET NORTH SUITE 800, SAINT PAUL, MN 55101
NORTH OAKS, MN
Registered with this firm since 8/14/2023
B
CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)
400 ROBERT STREET NORTH SUITE 800, SAINT PAUL, MN 55101
NORTH OAKS, MN
Registered with this firm since 8/14/2023
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
400 ROBERT STREET NORTH SUITE 800, SAINT PAUL, MN 55101
NORTH OAKS, MN
Registered with this firm since 8/14/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
400 ROBERT STREET NORTH SUITE 800, SAINT PAUL, MN 55101
NORTH OAKS, MN
Registered with this firm since 8/10/2023
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
400 ROBERT ST N STE 800, ST PAUL, MN 55101
NORTH OAKS, MN
Registered with this firm since 8/10/2023
Previous Registration(s)
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IA
 09/13/2022 - 08/10/2023 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) ST PAUL, MN
B
 08/05/2022 - 08/10/2023 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) ST PAUL, MN
IA
 06/04/2014 - 04/21/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) MINNEAPOLIS, MN
B
 05/31/2012 - 04/21/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.