JJ
John M. James
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Bellevue, NE 68005
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CRD#: 2738323
JJ
Professional summary
John Michael James is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Bellevue, Nebraska and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Bellevue, Nebraska.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 8 firms and has passed the Series 65, 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) James Financial Services, Inc, 1710 HANCOCK STREET, BELLEVUE, NE. 3/19/1999. President of the Corporation. Not investment related, 100/monthly, 8/trading. 2) Financial Strategies Building, LLC, 702 Jefferson Circle, Bellevue NE 68005. 9/7/2010. LLC/ Managing Member. Not investment related, 0/monthly, 0/trading. 3) Financial Strategies, 1710 HANCOCK STREET, BELLEVUE, NE, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 9/15/2010. Owner. not investment related, 100/monthly, 50/trading 4) CIRA- 1776 Pleasant Plain Road, Fairfield IA, 52556. Advisory Rep of a Registered Investment Advisor. investment related, 30/weekly, 6/trading. See employment history for start dat 5) FOREST HILLS HOME OWNERS ASSOCIATION, 107 Olde Hickory Road, Bellevue NE 68005, United States, 11/21/2023, President, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 1 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view John Michael James'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
September 20, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1710 Hancock St., Bellevue, NE 68005RIA
CRD#: 134139
Bellevue, NE
Current
September 15, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1710 Hancock St., Bellevue, NE 68005BD
CRD#: 39543
Bellevue, NE
Past
August 14, 2015 - September 19, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
Bellevue, NE
Past
August 13, 2015 - September 19, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
Bellevue, NE
Past
May 20, 2013 - August 17, 2015
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
BELLEVUE, NE
Past
May 17, 2013 - August 17, 2015
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
BELLEVUE, NE
Past
March 26, 2004 - May 7, 2013
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
BELLEVUE, NE
Past
March 26, 2004 - May 7, 2013
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
BELLEVUE, NE
Past
January 22, 2002 - March 29, 2004
LEGACY ADVISORY SERVICES, INC.
RIA
CRD#: 111027
BELLEVUE, NE
Past
March 22, 1999 - March 26, 2004
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
April 13, 1998 - April 8, 1999
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
January 2, 1998 - April 8, 1998
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
July 31, 1996 - January 2, 1998
PINEBRIDGE SECURITIES LLC
BD
CRD#: 5967
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(9/15/2017)
RR
Iowa(9/15/2017)
RR
Kansas(6/14/2018)
RR
Missouri(1/3/2023)
RR
Nebraska(9/15/2017)
IAR
Nebraska(9/20/2017)
RR
Oklahoma(9/15/2017)
RR
Texas(9/29/2020)
IAR
Texas(9/29/2020)
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
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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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Bellevue, NE 68005TRUST BUT VERIFY
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