James C. Ridley
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
SEVIERVILLE, TN 37862
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CRD#: 2512499
Professional summary
James Creath Ridley IV, CFP®, who also goes by IV James Creath Ridley, Jim Ridley Iv, Jim Ridley, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Sevierville, Tennessee and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Sevierville, Tennessee.
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 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Iv James Creath Ridley | Jim Ridley Iv | Jim Ridley
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, 226 PRINCE ST, SEVIERVILLE, TN, 1/2015 SELLING MEDICARE SUPPLEMENT PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES. 5 HR/MO - 5/TRADING. 2)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 7/2014 AS ADVISORY REP OF A RIA. INV REL - 30 HR/WK - 30/TRADING. 3)ELKMONT WEALTH MANAGEMENT, PLLC, 226 Prince St, Sevierville TN 37862, United States, 01/01/2023, President, Owner/Partner of a Business Entity, NIR, 0 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view James Creath Ridley IV'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: 2003
Experience
Current
July 1, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 226 Prince Street, Sevierville, TN 37862RIA
CRD#: 134139
SEVIERVILLE, TN
Current
June 30, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 226 Prince Street, Sevierville, TN 37862BD
CRD#: 39543
Sevierville, TN
Past
November 14, 2006 - July 2, 2014
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
SEVIERVILLE, TN
Past
November 14, 2006 - July 2, 2014
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
SEVIERVILLE, TN
Past
April 28, 2006 - November 2, 2006
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
RIA
CRD#: 111757
MEMPHIS, TN
Past
April 17, 2006 - October 31, 2006
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
MT. CARMEL, TN
Past
November 4, 2005 - April 7, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
GREENVILLE, TN
Past
November 4, 2005 - April 7, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
GREENVILLE, TN
Past
March 16, 2004 - August 30, 2005
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
GREENEVILLE, TN
Past
March 21, 2003 - August 30, 2005
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
MEMPHIS, TN
Past
July 10, 2002 - April 1, 2003
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
June 12, 1995 - July 10, 2002
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
September 12, 1994 - May 2, 1995
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
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
Colorado(10/1/2020)
RR
Florida(1/30/2018)
RR
Georgia(1/30/2018)
RR
Indiana(2/5/2018)
RR
Iowa(12/2/2019)
RR
Michigan(1/3/2017)
RR
New York(2/5/2018)
RR
North Carolina(2/1/2018)
RR
Ohio(10/2/2020)
RR
South Carolina(4/22/2019)
RR
Tennessee(7/1/2014)
IAR
Tennessee(7/1/2014)
RR
Virginia(6/30/2014)
RR
Wisconsin(8/8/2018)
RR
Wyoming(4/22/2019)
Exams
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
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.
