JA
James E. Almond
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Oak Point, TX
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CRD#: 1323752
JA
Professional summary
James Edwin Almond, CFP®, who also goes by Jim Almond, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Oak Point, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Frisco, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Almond
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.JIM ALMOND, 5700 GRANIT PARKWAY, STE 200, PLANO, TX, 7/01/2009 AS OWNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR, - 1/WK - 1/TRADING. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 35/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3. RED RIVER INSTITUTE OF HISTORY, INC, 11029 BUGGY WHIP LANE, WAUKOMIS, OK, BOARD MEMBER OF A NON-PUBLIC ENTITY, 11/18/20, NIR, 1/YR- 0/TRADING 4.FIRST DALLAS FINANCIAL GROUP, Frisco TX 75034, United States, 07/01/2009, IAR, DBA Name, INV REL, 160HR/MO- 120HR/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view James Edwin Almond'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®
CFP®
Start date: 1990
Experience
Current
July 1, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 2591 Dallas Pkwy. Ste. 300, Frisco, TX 75034RIA
CRD#: 134139
Oak Point, TX
Current
July 1, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2591 Dallas Pkwy. Ste. 300, Frisco, TX 75034BD
CRD#: 39543
Frisco, TX
Past
August 31, 1990 - July 1, 2009
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
DALLAS, TX
Past
August 31, 1990 - July 1, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
DALLAS, TX
Past
October 27, 1989 - September 6, 1990
PROGRESSIVE CAPITAL SECURITIES CORPORATION
BD
CRD#: 14946
Past
October 27, 1988 - October 23, 1989
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
March 24, 1987 - November 3, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
December 16, 1985 - March 30, 1987
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Past
March 13, 1985 - January 6, 1986
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
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(3/19/2018)
RR
California(7/1/2009)
RR
Delaware(10/24/2019)
RR
Florida(11/8/2019)
RR
Georgia(10/30/2013)
RR
Illinois(10/31/2022)
RR
Kansas(8/29/2022)
RR
Louisiana(10/7/2024)
RR
Maryland(5/21/2020)
RR
Michigan(1/2/2025)
RR
Mississippi(7/1/2009)
RR
Missouri(7/1/2009)
RR
New York(2/1/2022)
RR
North Carolina(7/1/2009)
RR
Oklahoma(7/1/2009)
RR
South Carolina(6/11/2020)
RR
Texas(7/1/2009)
IAR
Texas(7/1/2009)
RR
Virginia(7/1/2009)
Exams
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.
