JB
James R. Barcomb
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Plattsburgh, NY 12901
Some features on this profile are disabled
CRD#: 2434495
JB
Professional summary
James Robert Barcomb is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Plattsburgh, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Plattsburgh, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) PLATTSBURGH HOUSING AUTHORITY, 4817 SOUTH CATHERINE STREET PLATTSBURGH NY, 03/2014, VICE PRESIDENT, BOARD MEMBER, NIR, 2 HR/MO 2 HR/MO TRADING 2) HOSPICE OF THE NORTH COUNTRY, 358 TOM MILLER ROAD PLATTSBURGH NY, 04/2018, BOARD MEMBER, NIR, 2 HR/MO 2 HR TRADING 3) CIRA, 1776 PLEASANT PLAIN FAIRFIELD IA 52556, 11/2022, IAR AFFILIATION, INV REL, 160 HR/MO 120 HR TRADING 4) BIG COUNTRY LLC, 39 COURT STREET PLATTSBURGH NY, 03/2021, OWNER, REAL ESTATE, NIR, 1 HR/MO 0 HR/MO TRADING 5) BARCOMB WEALTH MANAGEMENT, 39 Court St., Plattsburgh NY 12901, United States, 03/05/2021, Owner, DBA, INV REL, 150 HR/MO 150 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view James Robert Barcomb'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
December 8, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 39 Court St, Plattsburgh, NY 12901RIA
CRD#: 134139
Plattsburgh, NY
Current
December 9, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 39 Court Street, Plattsburgh, NY 12901BD
CRD#: 39543
Plattsburgh, NY
Past
April 8, 2021 - April 3, 2023
CANTELLA & CO., INC.
RIA
CRD#: 13905
Plattsburgh, NY
Past
March 9, 2021 - December 9, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
Plattsburgh, NY
Past
October 3, 2016 - March 11, 2021
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
PLATTSBURGH, NY
Past
June 11, 2010 - March 11, 2021
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
PLATTSBURGH, NY
Past
June 14, 2002 - June 15, 2010
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
PLATTSBURGH, NY
Past
November 24, 1998 - March 6, 2002
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
November 14, 1997 - November 4, 1998
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
November 14, 1997 - November 4, 1998
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
June 19, 1997 - October 28, 1997
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
February 22, 1994 - February 18, 1997
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
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
Florida(12/9/2022)
IAR
New York(12/8/2022)
RR
New York(12/9/2022)
RR
Vermont(12/9/2022)
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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
