JF
James M. Fay
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
STATE COLLEGE, PA 16801
Some features on this profile are disabled
CRD#: 2083701
JF
Professional summary
James Michael Fay, who also goes by James M Fay, Jim Fay, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in State College, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in State College, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James M Fay | Jim Fay
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)INDEPENDENT INSURANCE AGENT, 1315 SOUTH ALLEN ST, STE 405, STATE COLLEGE, PA, 1/2008 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2 HR/WK - 1/TRADING. 2)JIM FAY, 110 HARRIS DR., STATE COLLEGE, PA 16801. BEGAN 5/1/2010 AS A LANDLORD AND OWNER OF A HOME THAT IS RENTED OUT. NOT INVESTMENT RELATED. DEVOTES 10HR/MO, 0/TRADE. 3)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 25 HR/WK - 4/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4)NOTARY PUBLIC, 1315 SOUTH ATHERTON ST. SUITE 405, STATE COLLEGE, PA, 01/2008. NIR - 1 HR/MO - 1/TRADING. 5)OWNER OF ANOTHER RENTAL HOME, PROPERTY IS IN HACKETTSTOWN, NJ, 10/2015. NIR - 10 HR/MO - 0/TRADING. 6)PETERSON INTERNATIONAL UNDERWRITERS, 23939 VALENCIA BLVD, 2ND FL, VALENCIA, CA, 8/2016 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 5 HR/YR - 5/TRADING. 7)COACH ADULT BASEBALL TEAM, 110 HARRIS DR, STATE COLLEGE, PA, 5/2016. NIR - 10 HR/YR - 0/TRADING. 8)ATHLON ADVISORS, 1315 S ALLEN ST, SUITE 305, STATE COLLEGE, PA 16801, 12/2023, FINANCIAL PROFESSIONAL, USING A TRADE NAME/DBA, INV REL, 160 HR/MO - 120 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Fay'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
June 2, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1315 South Allen St Ste 305, State College, PA 16801RIA
CRD#: 134139
STATE COLLEGE, PA
Current
January 2, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1315 South Allen St Ste 305, State College, PA 16801BD
CRD#: 39543
State College, PA
Past
September 2, 2003 - December 31, 2007
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
STATE COLLEGE, PA
Past
October 30, 1992 - September 3, 2003
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
Past
April 26, 1991 - November 6, 1992
HACKETT ASSOCIATES, INC.
BD
CRD#: 2106
WYOMISSING, PA
Past
September 10, 1990 - April 29, 1991
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
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
Alaska(1/6/2025)
RR
Arizona(12/9/2021)
RR
California(10/20/2015)
RR
Colorado(8/11/2009)
RR
Connecticut(1/2/2020)
RR
Delaware(1/2/2019)
RR
District of Columbia(2/6/2025)
RR
Florida(1/2/2019)
RR
Georgia(8/24/2011)
RR
Illinois(1/3/2012)
RR
Maryland(1/2/2008)
RR
Massachusetts(1/2/2008)
RR
Michigan(3/3/2017)
RR
New Jersey(1/2/2008)
RR
New York(1/2/2008)
RR
North Carolina(1/3/2014)
RR
Ohio(1/3/2012)
RR
Pennsylvania(1/2/2008)
IAR
Pennsylvania(6/2/2010)
RR
South Carolina(1/2/2019)
RR
Texas(11/5/2019)
IAR
Texas(11/5/2019)
RR
Virginia(1/2/2008)
RR
West Virginia(6/16/2015)
RR
Wisconsin(1/3/2022)
Exams
State Security Law Exam
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139State College, PA 16801TRUST BUT VERIFY
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