JE
James E. Ellis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Altoona, PA 16602
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CRD#: 3211966
JE
Professional summary
James Edward Ellis, who also goes by James Ellis, Jim Ellis, James Ellis Yingling, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Altoona, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Altoona, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. James has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Ellis | Jim Ellis | James Ellis Yingling
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) AZJE LLC, 222 CAMPBELL HILL RD HOLLIDAYSBURG PA, PERSONAL LLC AND OWNER OF UNDERGROUND, 12/2017, INV REL, OWNER, SOLE MEMBER, 5 HR/WK 2 HR/TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 11/2012, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 3) STAR-LORD LLC, 100 W MAIN ST MILLHEIM PA, 07/2024, OWNER, REAL ESTATE, NIR, 07/2024 4) WEBBER SELTZER WEALTH ADVISORS, 3370 LYNWOOD DRIVE ALTOONA PA, 08/2024, IAR, DBA, INV REL, 200 HR/MO 120 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Ellis'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
November 22, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 3370 Lynwood Dr., Altoona, PA 16602RIA
CRD#: 134139
Altoona, PA
Current
November 22, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 3370 Lynnwood Dr, Altoona, PA 16602BD
CRD#: 39543
ALTOONA, PA
Past
November 5, 2008 - November 23, 2011
SANDERS MORRIS LLC
RIA
CRD#: 20580
ALTOONA, PA
Past
November 5, 2008 - November 23, 2011
SANDERS MORRIS LLC
BD
CRD#: 20580
ALTOONA, PA
Past
June 30, 2006 - November 3, 2008
QA3 FINANCIAL LLC
RIA
CRD#: 104957
ALTOON, PA
Past
June 30, 2006 - November 3, 2008
QA3 FINANCIAL CORP.
BD
CRD#: 14754
ALTOONA, PA
Past
March 9, 2004 - July 20, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
STATE COLLEGE, PA
Past
January 15, 2004 - July 20, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 8, 1999 - January 6, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Alabama(1/5/2021)
RR
California(4/9/2018)
RR
Colorado(5/29/2020)
RR
Connecticut(4/9/2018)
RR
Delaware(3/24/2017)
RR
District of Columbia(1/23/2018)
RR
Florida(10/18/2013)
RR
Georgia(5/30/2018)
RR
Kentucky(8/12/2014)
RR
Maryland(7/5/2012)
RR
Massachusetts(4/11/2016)
RR
Michigan(4/9/2018)
RR
New Jersey(4/4/2016)
RR
New York(4/9/2018)
RR
North Carolina(6/27/2016)
RR
Ohio(4/10/2018)
RR
Pennsylvania(11/22/2011)
IAR
Pennsylvania(11/22/2011)
RR
Rhode Island(4/9/2018)
RR
South Carolina(4/7/2016)
RR
Texas(8/19/2016)
IAR
Texas(8/19/2016)
RR
Vermont(1/2/2024)
RR
Virginia(8/11/2014)
RR
West Virginia(4/9/2018)
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
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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.
