JW
James G. Williams
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Lancaster, PA
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CRD#: 2922913
JW
Professional summary
James Gerard Williams, who also goes by James G Williams, Jim Williams, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Lancaster, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Lancaster, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. James has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James G Williams | Jim Williams
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 G. WILLIAMS, 20 THICKET LN, LANCASTER PA 17602, United States, 06/2025, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 8 HR/MO - 2 HR/MO TRADING. 2) BVM (ST. MARY'S) ROMAN CATHOLIC CHURCH FINANCE COMMITTEE, 119 S. Prince ST, Lancaster PA 17603, United States, 02/2018, COMMITTEE MEMBER, RELIGIOUS ORG, NIR 1 HR/MO - 0 HR/MO TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 6/2025, AS ADMINISTRATIVE REP OF A RIA. INV REL, 80 HR/MO- 80 4) WILLIAMS WEALTH MANAGEMENT, LLC, 20 THICKET LN, LANCASTER PA 17602, United States, 06/13/2025, Owner, DBA Name, NIR, 50 HR/MO - 50 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view James Gerard Williams'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
June 13, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Lancaster, PA
Current
June 13, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Lancaster, PA
Past
June 12, 2018 - June 13, 2025
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
Lancaster, PA
Past
June 12, 2018 - June 13, 2025
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
Lancaster, PA
Past
February 24, 2014 - June 11, 2018
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
LANCASTER, PA
Past
February 24, 2014 - June 11, 2018
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
LANCASTER, PA
Past
March 20, 2012 - February 27, 2014
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
LANCASTER, PA
Past
March 19, 2012 - February 27, 2014
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
LANCASTER, PA
Past
October 10, 2008 - March 19, 2012
OSAIC FA, INC.
RIA
CRD#: 3978
LANCASTER, PA
Past
October 8, 2008 - March 19, 2012
OSAIC FA, INC.
BD
CRD#: 3978
LANCASTER, PA
Past
November 1, 2007 - October 2, 2008
SPIRE SECURITIES, LLC
BD
CRD#: 144131
MCLEAN, VA
Past
June 25, 2002 - October 2, 2008
SPIRE WEALTH MANAGEMENT, LLC
RIA
CRD#: 113908
MCLEAN, VA
Past
January 28, 2002 - November 2, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
MCLEAN, VA
Past
June 6, 2001 - December 31, 2001
LOCKWOOD FINANCIAL SERVICES, INC.
BD
CRD#: 40655
MALVERN, PA
Past
June 30, 2000 - June 4, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
Arizona(6/13/2025)
RR
California(6/13/2025)
RR
Maryland(6/13/2025)
RR
Oregon(6/13/2025)
RR
Pennsylvania(6/13/2025)
IAR
Pennsylvania(6/13/2025)
RR
Texas(6/13/2025)
IAR
Texas(6/14/2025)
RR
Virginia(6/13/2025)
RR
Washington(6/13/2025)
Exams
State Security Law Exam
State Security Law 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.
