JN
James T. Neslage
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Wichita, KS 67230
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CRD#: 2736377
JN
Professional summary
James Timothy Neslage, who also goes by James T Neslage, Tim Neslage, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Wichita, Kansas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Wichita, Kansas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James T Neslage | Tim Neslage
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) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 10/2021, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 2) DBA CORENORTH, 13111 E 21ST STREET N WICHITA KS, 11/2021, IAR, DBA, INV REL, 140 HR/MO 140 HR/MO TRADING 3) NESLAGE INVESTMENTS LLC, 13111 E 21ST STREET N WICHITA KS, 11/2021, INDEPENDENT INSURTANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 4 HR/MO 4 HR/MO TRADING 4) CORENORTH CAPITAL PLANNING, 13111 E 21st Street N, Wichita KS 67230, United States, 07/14/2014, IAR, DBA, INV REL, 0/MO - 0/Trading
CRS (Client Relationship Summary) - RIA
Click below to view James Timothy Neslage'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
October 29, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 13111 E 21st St. N., Wichita, KS 67230RIA
CRD#: 134139
Wichita, KS
Current
October 29, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 13111 E 21st St N, Wichita, KS 67230BD
CRD#: 39543
Wichita, KS
Past
April 25, 2017 - November 22, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
WICHITA, KS
Past
April 24, 2017 - November 22, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Wichita, KS
Past
March 6, 2015 - April 25, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
WICHITA, KS
Past
March 6, 2015 - April 25, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
WICHITA, KS
Past
December 1, 2011 - March 6, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WICHITA, KS
Past
December 1, 2011 - March 6, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WICHITA, KS
Past
June 1, 2009 - December 21, 2011
MORGAN STANLEY
RIA
CRD#: 149777
WICHITA, KS
Past
June 1, 2009 - December 21, 2011
MORGAN STANLEY
BD
CRD#: 149777
WICHITA, KS
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
WICHITA, KS
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
WICHITA, KS
Past
September 25, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
WICHITA, KS
Past
September 25, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
WICHITA, KS
Past
July 22, 1996 - September 24, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WICHITA, KS
Past
June 5, 1996 - September 24, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Florida(10/29/2021)
RR
Kansas(10/29/2021)
IAR
Kansas(10/29/2021)
RR
Missouri(10/29/2021)
RR
Pennsylvania(10/29/2021)
RR
Texas(10/29/2021)
IAR
Texas(10/29/2021)
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#: 134139Wichita, KS 67230TRUST BUT VERIFY
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