James P. Costello
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
San Rafael, CA 94903
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CRD#: 2477753
Professional summary
James Patrick Costello, CFP®, CLU®, who also goes by Patrick Costello, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in San Rafael, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fairfield, Iowa.
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 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick Costello
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) GREEN RIVER FINANCIAL SERVICES, 321 SAN ANSELMO AVE SAN ANSELMO CA, 01/2013, OWNER, DBA, INV REL, 80 HR/MO 80 HR/MO TRADING 2) INDEPENDENT INSURANCE AGENT, 321 SAN ANSELMO AVE SAN ANSELMO CA, 01/2013, FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 4/WK 4/TRADING 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 06/2016, AS ADVISORY REP OF A RIA. INV REL, 80 HR/MO 80 HR/MO TRADING 4) BOOK AUTHOR, SAN ANSELMO CA, 01/2013, BOOK IS ABOUT SUSTAINABLE INVESTING. INV REL, 2 HR/WK 0 HR/TRADING 5) FOSSILFREECA.ORG, PO BOX 21022 OAKLAND CA, 06/2024, TREASURER, LOBBYING ORGANIZATION, NIR, 6 HR/MO 0 HR/MO TRADING 6) PROTECTED INVESTORS OF AMERICA, 4380 Redwood Highway, Suite 8, San Rafael CA 94903, 01/2025, IAR, DBA NAME, NIR, 0 HR/MO - 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Costello'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®
CFP®
Start date: 2006
Experience
Current
June 10, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 4380 Redwood Highway, Suite A-8, San Rafael, CA 94903RIA
CRD#: 134139
San Rafael, CA
Current
June 10, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1776 Pleasant Plain Rd., Fairfield, IA 52556-8757Office #2: 4380 Redwood Highway, Suite A-8, San Rafael, CA 94903BD
CRD#: 39543
Fairfield, IA
Past
July 16, 2013 - July 22, 2016
PROTECTED INVESTORS OF AMERICA
RIA
CRD#: 6082
San Anselmo, CA
Past
July 16, 2013 - July 22, 2016
PROTECTED INVESTORS OF AMERICA
BD
CRD#: 6082
San Anselmo, CA
Past
March 5, 2002 - July 31, 2013
EQUITY SERVICES, INC.
RIA
CRD#: 265
SAN RAFAEL, CA
Past
February 5, 2002 - July 31, 2013
EQUITY SERVICES, INC.
BD
CRD#: 265
SAN RAFAEL, CA
Past
March 18, 1998 - January 3, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
September 3, 1997 - February 12, 1998
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
November 4, 1996 - August 27, 1997
FINANCIAL WEST GROUP
BD
CRD#: 16668
RENO, NV
Past
January 19, 1996 - March 4, 1996
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 29, 1994 - November 6, 1995
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
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
California(6/10/2016)
IAR
California(6/10/2016)
RR
Hawaii(12/22/2021)
RR
Maine(1/22/2020)
RR
Minnesota(10/19/2020)
RR
New Mexico(1/7/2025)
RR
Washington(6/10/2016)
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#: 134139San Rafael, CA 94903TRUST BUT VERIFY
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