JF
James M. Fallon
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Greensboro, GA 30642
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CRD#: 2319582
JF
Professional summary
James Martin Fallon, who also goes by Jim Fallon, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Greensboro, Georgia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Greensboro, Georgia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Fallon
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. NUMBER ONE GROUP, MILTON, GA, 08/2019. BOARD MEMBER, OF MUSIC AND PUBLISHING COMPANY. NIR-1/MO-0/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3. AMERICAN RETIREMENT SERVICES LLC, 6350 LAKE OCONEE PRKWY STE 110-186, GREENSBORO, GA, 12/2019. PRESIDENT, FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL-40/WK-40/TRADING. 4. FALLON INSURANCE DBA POAB PLUS, 6350 LAKE OCONEE PARKWAY, STE 110-PMB 186, GREENSBORO, GA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 01/13/21, INV REL, 2 HR/WK- 2/TRADING HR. 5. ETTEO TECHNOLOGY, LLC, 12850 Hwy 9 North, Suite 600-342, Apharetta GA 30004, United States, 01/31/2022, Board Member, Technology services, NIR, 2 HR/MO - 1 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view James Martin Fallon'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
August 23, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 6350 Lake Oconee Parkway Suite 110-pmb 186, Greensboro, GA 30642RIA
CRD#: 134139
Greensboro, GA
Current
August 22, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 6350 Lake Oconee Parkway Suite 110-pmb 186, Greensboro, GA 30642BD
CRD#: 39543
Greensboro, GA
Past
July 10, 2019 - August 27, 2019
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
TYRONE, GA
Past
July 3, 2019 - August 27, 2019
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
TYRONE, GA
Past
September 1, 2009 - July 5, 2019
MORGAN STANLEY
RIA
CRD#: 149777
PEACHTREE CITY, GA
Past
August 31, 2009 - July 5, 2019
MORGAN STANLEY
BD
CRD#: 149777
PEACHTREE CITY, GA
Past
March 8, 2006 - September 24, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
PEACHTREE, GA
Past
February 24, 2003 - September 24, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
PEACHTREE, GA
Past
February 18, 2003 - June 2, 2003
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
March 17, 2000 - March 4, 2003
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
February 19, 1999 - December 31, 1999
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
March 15, 1993 - April 23, 1997
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
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
Alabama(7/20/2020)
RR
Florida(5/5/2020)
RR
Georgia(8/22/2019)
IAR
Georgia(8/23/2019)
RR
Kentucky(7/20/2020)
RR
Maryland(9/18/2024)
RR
Oklahoma(4/24/2025)
RR
Pennsylvania(6/11/2020)
RR
Texas(7/20/2020)
IAR
Texas(7/20/2020)
RR
Virginia(7/20/2020)
RR
Wyoming(1/3/2023)
Exams
State Security Law Exam
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.
