James H. Day
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Henry Day was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2010 - December 31, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 8, 2010 - December 31, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 4, 2010 - February 17, 2010
GROVE POINT INVESTMENTS, LLC
February 24, 2006 - December 31, 2009
FSC SECURITIES CORPORATION
April 1, 2004 - November 21, 2014
DAY PROFESSIONAL SERVICES
September 13, 2001 - December 31, 2005
FSC SECURITIES CORPORATION
November 20, 1996 - December 31, 2009
FSC SECURITIES CORPORATION
November 29, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
November 29, 1988 - November 21, 1996
MONY SECURITIES CORPORATION
July 12, 1988 - November 16, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
March 2, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
March 2, 1983 - July 20, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
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
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