JM
John W. Moses
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Ripley, TN 38063
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CRD#: 1314201
JM
Professional summary
John Ware Moses IV, who also goes by Jack W. Moses IV, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Ripley, Tennessee and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Ripley, Tennessee.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jack W. Moses Iv
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) GREENBRIDGE INSURANCE AND INVESTMENT SERVICES / 116 North Jefferson St., Ripley TN / 04/2020 / OWNER, DBA, INSURANCE AGENT / INV REL / 130 HR/MO - 100 HR TRADING 2) CIRA, Fairfield IA 52556, 12/2022, Investment Advisor Representative, Manages client assets or prepares financial plans, INV-REL, 160 HO/MO - 120 HR/MO Trading 3) NORTH STAR HOLDINGS, LLC, 6780 Rudolph Rd, Brownsville TN, 10/2023, OWNER, FARMLAND RENTAL, NIR, 10 HR/MO - 0 HR TRADING
CRS (Client Relationship Summary) - RIA
Click below to view John Ware Moses IV'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
December 12, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 116 N Jefferson St., Ripley, TN 38063RIA
CRD#: 134139
Ripley, TN
Current
December 9, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 116 N. Jefferson Street, Ripley, TN 38063BD
CRD#: 39543
Ripley, TN
Past
January 29, 2018 - June 1, 2023
CANTELLA & CO., INC.
RIA
CRD#: 13905
Ripley, TN
Past
January 18, 2018 - December 9, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
Ripley, TN
Past
February 10, 2009 - December 31, 2017
BOLTON SECURITIES CORPORATION
RIA
CRD#: 129376
RIPLEY, TN
Past
February 16, 2006 - December 31, 2017
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
RIPLEY, TN
Past
September 8, 2003 - February 23, 2006
STONEX SECURITIES INC.
BD
CRD#: 18456
BIRMINGHAM, AL
Past
April 27, 2000 - September 10, 2003
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
March 30, 2000 - August 21, 2003
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
October 1, 1997 - March 31, 2000
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
September 14, 1990 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, IN
Past
July 27, 1989 - October 4, 1990
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
February 19, 1985 - July 13, 1989
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
BLOOMINGTON, IL
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
Arkansas(12/9/2022)
RR
Georgia(12/9/2022)
RR
Illinois(4/6/2023)
RR
Mississippi(12/9/2022)
RR
Missouri(12/9/2022)
RR
South Carolina(12/9/2022)
RR
Tennessee(12/9/2022)
IAR
Tennessee(12/12/2022)
RR
Texas(12/9/2022)
IAR
Texas(12/13/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
