James Laurance Gruning | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Laurance Gruning, who also goes by Jim Gruning, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1996. James had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Jim Gruning

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 15, 2010 - December 31, 2020

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

PLYMOUTH, MN

Past

January 4, 2010 - December 31, 2020

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

PLYMOUTH, MN

Past

March 18, 2008 - December 31, 2009

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

MINNEAPOLIS, MN

Past

February 27, 2008 - December 31, 2009

INVESTORS CAPITAL CORP.

BD

CRD#: 30613

MINNEAPOLIS, MN

Past

March 25, 2002 - February 27, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD

CRD#: 6694

MINNEAPOLIS, MN

Past

November 16, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD

CRD#: 4039

NEW YORK, NY

Past

November 16, 1999 - March 28, 2002

EQUITABLE ADVISORS, LLC

BD

CRD#: 6627

NEW YORK, NY

Past

December 16, 1998 - August 27, 1999

OSAIC FS, INC.

BD

CRD#: 3870

FORT WAYNE, IN

Past

May 4, 1998 - October 30, 1998

CITISTREET EQUITIES LLC

BD

CRD#: 7447

SOMERSET, NJ

Past

January 1, 1996 - February 20, 1998

DAIN RAUSCHER INCORPORATED

BD

CRD#: 7600

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.

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/12/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 1/5/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 12/21/1995

General Securities Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

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	Cover Page	Report
04/29/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

James L. Gruning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

RAYMOND JAMES FINANCIAL SERVICES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

OSAIC FS, INC.

CITISTREET EQUITIES LLC

DAIN RAUSCHER INCORPORATED

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/12/2008

Series 63

Date: 1/5/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/21/1995

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

TRUST BUT VERIFY

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