JY
Jim A. Yockey
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Louisville, KY 40222
Some features on this profile are disabled
CRD#: 1055280
JY
Professional summary
Jim Alan Yockey, who also goes by Jim A Yockey, Jimmy Alan Yockey, Jimmy Yockey, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Louisville, Kentucky and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Lousiville, Kentucky.
Jim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Jim has worked at 19 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim A Yockey | Jimmy Alan Yockey | Jimmy Yockey
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. AUTHOR, LOUISVILLE, KY, 07/1996. AUTHOR OF "MONEY MOVES", "ROAD MAP TO WEALTH", "PLAYING WITH YOUR MIND; MANAGE YOUR BRAIN, CHANGE YOUR GAME; A MENTAL GAME OF GOLF BOOK". NIR-0/YR-0/TRADING.
2. INDEPENDENT INSURANCE AGENT, ONE OXMOOR PLACE 101 BULLITT LN, STE G-5, LOUISVILLE, KY, 08/2019. FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-5/MO-0/TRADING.
3. WISDOM FINANCIAL MANAGEMENT LLC, ONE OXMOOR PLACE 101 BULLITT LN, STE G-5, LOUISVILLE, KY, 03/2011. FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL-70/WK-8/TRADING.
4.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE.
5. ONREQUEST LLC, 3430 NEWBURG RD, STE 158, LOUISVILLE, KY, MOBILE HEALTHCARE CLINIC CO, CONSULTANT, 03/03/20, NIR, 10/MO- 0/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Jim Alan Yockey's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 20, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: One Oxmoor Place 101 Bullitt Lane, Ste G-5, Louisville, KY 40222RIA
CRD#: 134139
Louisville, KY
Current
August 20, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: One Oxmoor Plance 101 Bullitt Lane, Ste G-5, Lousiville, KY 40222BD
CRD#: 39543
Lousiville, KY
Past
March 3, 2016 - August 22, 2019
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
LOUISVILLE, KY
Past
March 3, 2016 - August 22, 2019
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
LOUISVILLE, KY
Past
August 6, 2012 - March 3, 2016
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
LOUISVILLE, KY
Past
August 6, 2012 - March 3, 2016
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
LOUISVILLE, KY
Past
October 17, 2008 - August 20, 2012
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
CLARKSVILLE, IN
Past
October 17, 2008 - August 20, 2012
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
CLARKSVILLE, IN
Past
April 30, 2008 - October 15, 2008
WFG ADVISORS, LP
RIA
CRD#: 125073
LOUISVILLE, KY
Past
April 29, 2008 - October 15, 2008
WFG INVESTMENTS, INC.
BD
CRD#: 22704
DALLAS, TX
Past
November 10, 2006 - September 7, 2007
WFG ADVISORS, LP
RIA
CRD#: 125073
LOUISVILLE, KY
Past
February 2, 2006 - September 7, 2007
WFG INVESTMENTS, INC.
BD
CRD#: 22704
DALLAS, TX
Past
May 16, 2005 - December 31, 2005
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
LOUISVILLE, KY
Past
May 4, 2005 - December 31, 2005
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
July 1, 2003 - November 21, 2003
WFG INVESTMENTS, INC.
BD
CRD#: 22704
DALLAS, TX
Past
August 1, 2001 - April 14, 2003
FISHER INVESTMENTS
RIA
CRD#: 107342
PLANO, TX
Past
February 23, 2000 - January 3, 2001
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
Past
November 4, 1998 - December 21, 1999
TRANSAMERICA SECURITIES SALES CORPORATION
BD
CRD#: 17970
LOS ANGELES, CA
Past
April 30, 1997 - May 22, 1998
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
October 11, 1996 - May 14, 1997
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
April 3, 1996 - August 28, 1996
ROULSTON RESEARCH CORP.
BD
CRD#: 17864
CLEVELAND, OH
Past
July 24, 1989 - January 23, 1995
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
September 8, 1987 - June 14, 1988
ASTRA FUND DISTRIBUTORS CORP.
BD
CRD#: 6930
Past
August 31, 1984 - June 23, 1987
COLONIAL INVESTMENT SERVICES, INC.
BD
CRD#: 167
Past
August 2, 1983 - August 20, 1984
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
Past
July 1, 1982 - April 8, 1983
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/6/2024)
RR
California(8/20/2019)
RR
Florida(8/20/2019)
RR
Georgia(8/20/2019)
RR
Indiana(8/20/2019)
RR
Kentucky(8/20/2019)
IAR
Kentucky(8/20/2019)
RR
Massachusetts(7/24/2020)
RR
Michigan(8/20/2019)
RR
Nevada(11/19/2024)
RR
Ohio(3/31/2022)
RR
Pennsylvania(2/11/2020)
RR
Tennessee(8/20/2019)
RR
Virginia(8/20/2019)
RR
West Virginia(4/29/2022)
RR
Wisconsin(2/13/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Louisville, KY 40222TRUST BUT VERIFY
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