James Lee Freese, CIMA | Financial Professional

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 Lee Freese, CIMA®, who also goes by Jim Freese, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1989. James had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Jim Freese

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) FARMING, 1538 NUTMEG AVE, KALONA, IA, FARM OWNER, 11/01/19, NIR, 1/R- 0/TRADING 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADMINISTRATIVE REP OF A RIA. INV REL, 80 HR/MO- 80 HR/MO TRADING. 05/09/2012

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Past

April 17, 2018 - June 5, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Fairfield, IA

Past

April 16, 2018 - June 5, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

Fairfield, IA

Past

January 19, 2017 - March 14, 2018

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

ADA, MI

Past

January 17, 2017 - March 14, 2018

USA FINANCIAL SECURITIES LLC

BD

CRD#: 103857

ADA, MI

Past

August 14, 2015 - May 31, 2016

FS INVESTMENT SOLUTIONS, LLC

BD

CRD#: 145244

PHILADELPHIA, PA

Past

May 9, 2012 - May 26, 2015

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

FAIRFIELD, IA

Past

May 9, 2012 - May 26, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

FAIRFIELD, IA

Past

January 1, 2010 - May 9, 2012

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

September 13, 2002 - January 1, 2010

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA

CRD#: 109264

HOUSTON, TX

Past

January 26, 2001 - May 9, 2012

INVESCO DISTRIBUTORS, INC.

BD

CRD#: 7369

HOUSTON, TX

Past

June 15, 1998 - January 25, 2001

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD

CRD#: 7110

COLUMBUS, OH

Past

June 14, 1994 - October 8, 1996

CITICORP INVESTMENT SERVICES

BD

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 25, 1991 - July 14, 1992

WWK INVESTMENTS, INC.

BD

CRD#: 25184

NORTHVILLE, MI

Past

March 8, 1989 - February 5, 1990

METROPOLITAN LIFE INSURANCE COMPANY

BD

CRD#: 4095

NEW YORK, NY

Past

March 8, 1989 - February 5, 1990

MSI FINANCIAL SERVICES, INC.

BD

CRD#: 14251

SPRINGFIELD, MA

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.

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 1/4/2002

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 10/25/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 6/15/1992

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 3/7/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 8/18/1994

General Securities Principal Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

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	Cover Page	Report
04/29/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

James L. Freese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

FS INVESTMENT SOLUTIONS, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

INVESCO ADVISERS, INC.

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

INVESCO DISTRIBUTORS, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

CITICORP INVESTMENT SERVICES

WWK INVESTMENTS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/4/2002

Series 63

Date: 10/25/1991

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1992

Series 6

Date: 3/7/1989

Series 24

Date: 8/18/1994

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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