James E. Burke

CUNA BROKERAGE SERVICES

Allison, IA

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CRD#: 2072465

Professional summary

James Edward Burke JR is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Allison, Iowa.

James is registered as a RR (Registered Representative) and started their career in finance in 1990. James has worked at 18 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Edward Burke JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 21, 2017 - Present

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

Allison, IA

Past

October 15, 2014 - September 14, 2017

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

August 13, 2013 - October 7, 2014

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

December 19, 2012 - August 16, 2013

INSPEREX LLC

CRD#: 101420

DELRAY BEACH, FL

Past

December 19, 2012 - August 16, 2013

INCAPITAL DISTRIBUTORS LLC

CRD#: 156622

DELRAY BEACH, FL

Past

October 30, 2012 - December 20, 2012

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

December 3, 2010 - November 22, 2011

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

BOSTON, MA

Past

November 2, 2010 - November 21, 2011

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

December 11, 2008 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

BOSTON, MA

Past

August 9, 2005 - November 21, 2011

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

June 17, 2005 - December 31, 2006

JOHN HANCOCK DISTRIBUTORS LLC

RIA

CRD#: 5249

BOSTON, MA

Past

April 30, 2002 - March 29, 2005

FISHER INVESTMENTS

RIA

CRD#: 107342

W. BRIDGEWATER, MA

Past

December 22, 1998 - April 11, 2002

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, MA

Past

February 15, 1995 - January 22, 1999

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

July 12, 1993 - July 6, 1994

NATIONSSECURITIES

CRD#: 32542

Past

June 4, 1991 - July 12, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 22, 1991 - June 5, 1991

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 22, 1991 - June 5, 1991

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

July 30, 1990 - January 4, 1991

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(4/3/2018)

Maine
(4/3/2018)

Massachusetts
(11/21/2017)

New Hampshire
(4/3/2018)

Rhode Island
(4/3/2018)

Vermont
(4/3/2018)

Exams

State Security Law Exam

Series 63

Date: 1/30/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/14/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/26/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC. | TRUSTAGE WEALTH MANAGEMENT SOLUTIONS DBA OF CUNA BROKERAGE | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS WESTCONSIN INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS TENNESSEE VALLEY INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS MECU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FIRST WEALTH ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FINANCIALEDGE ADVISORY GROUP | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ENVISTA INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CUNA MUTUAL GROUP FINANCIAL ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CLEARVIEW INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS BCU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ALEC INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS AAFCU INVESTMENT & RETIREMENT ADVISORS

CRD#: 13941 / SEC#: 801-60099, 8-30027

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

2000 Heritage Way, Waverly, IA 50677

Mailing Address

2000 Heritage Way, Waverly, IA 50677

Phone number

(319) 352-4090

Established

Wisconsin since 05/11/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

716

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CBSI WRAP FEE BROCHURE 3-2022 (3/31/2022)

CBSI FORM ADV 2A 3-2022 (3/31/2022)

Direct owners and executive officers

Name	Position	CRD#
CUNA MUTUAL INVESTMENT CORPORATION	OWNER
BARBATO, PAUL DAMIEN	SENIOR VICE PRESIDENT	7064310
BOAN, JOSEPH SALVATORE	PRESIDENT/DIRECTOR	2379993
BROCK, JENNY MARIE	TREASURER	6654483
COPELAND, CHRISTOPHER JUDD	DIRECTOR	6437117
HABERSTICH, MELISSA M	CHIEF COMPLIANCE OFFICER	4190838
KARLS, WILLIAM ANTON	DIRECTOR	6847792
POPPE, CHRISTINE ELIZABETH	LICENSING OFFICER	4080909
SCHULTZ, TAMMY LYNN	DIRECTOR	7991087
THOMAS, BARTH T	SECRETARY/DIRECTOR	2849100

Regulatory assets under management

Total Number of Accounts	20,233
AUM (Assets Under Management)	$ 5,790,352,615

Disclosures

Regulatory Event	5
Arbitration	6

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James E. Burke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Edward Burke JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA CAPITAL, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

INSPEREX LLC

INCAPITAL DISTRIBUTORS LLC

THE LEADERS GROUP, INC.

MANULIFE INVESTMENT MANAGEMENT (US) LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

FISHER INVESTMENTS

FIS SECURITIES, INC.

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

NATIONSSECURITIES

MORGAN STANLEY DW INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

HIBBARD BROWN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/30/2006

Series 65

Date: 3/14/2002

SIE

Date: 10/1/2018

Series 7

Date: 4/26/2013

FINRA

Current Firm

CUNA BROKERAGE SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CUNA BROKERAGE SERVICES, INC.

TRUST BUT VERIFY

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