BJ
Brian K. Jones
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
West Burlington, IA 52655
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CRD#: 4203098
BJ
Professional summary
Brian Keith Jones is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in West Burlington, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Pilot Grove, Iowa.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 10 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE, Series 7, Series 24 and Series 28 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) PILOT GROVE INVESTMENT SERVICES, 410 S GRAND AVE, MT PLEASANT, IA, 10/2018, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 20 HR/MO, 20 HR/MO TRADING. 2) PILOT GROVE SAVINGS BANK, 1341 PILOT GROVE RD, PILOT GROVE, IA, 02/2018, TRUST OFFICER/INVESTMENT OFFICER/EMPLOYEE PORTFOLIO MANAGEMENT, NIR, 40 HR/MO, 40 HR/MO TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 10/2018, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING. 4) BRIAN JONES, 410 S GRAND AVE, MOUNT PLEASANT, IA, 08/2022, NOTARY, NIR, 1 HR/MO, 1 HR/MO TRADING. 5) US FABRIC STRUCTURES, MOUNT PLEASANT, IA, 10/2023, OWNER, PRODUCT SALES, NIR, 10 HR/MO, 2 HR/MO TRADING. 6) HOOP BUILDINGS, LLC, 6615 NE 14TH ST, DES MOINES, IA, 03/2021, OWNER, RETAIL BUSINESS, NIR, 20 HR/MO, 5 HR/MO TRADING. 7) PIN OAKS DEVELOPMENT, 2504 W HIGHLAND LN, MT PLEASANT, IA, 09/2017, OWNER, REAL ESTATE DEVELOPMENT, NIR, 2 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Keith Jones'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 20, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 403 S Gear Ave Ste. 101, West Burlington, IA 52655Office #2: 410 S Grand Avenue, Mount Pleasant, IA 52641Office #3: 1341 Pilot Grove Rd., Pilot Grove, IA 52648Office #4: 516 Main St., Houghton, IA 52631Office #5: 521 N Main St, Donnellson, IA 52625Office #6: 200 Main St., Keokuk, IA 52632Office #7: 125 North Main St., Packwood, IA 52580Office #8: 205 W Main, Wayland, IA 52654Office #9: 208 Washington St., Bonaparte, IA 52620Office #10: 4520 Ave. L, Ft Madison, IA 52627Office #11: 301 South Main, Mt Pleasant, IA 52641Office #12: 109 S Locust St., Winfield, IA 52659Office #13: 619 9th St., Ft Madison, IA 52627Office #14: 100 E Lincoln Ave., Fairfield, IA 52556Office #15: 509 Ave. D, West Point, IA 52656RIA
CRD#: 134139
West Burlington, IA
Current
October 20, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1341 Pilot Grove Road, Pilot Grove, IA 52648Office #2: Pilot Grove Investment Services 410 South Grand Ave, Mt. Pleasant, IA 52641Office #3: 509 Ave. D, West Point, IA 52656BD
CRD#: 39543
Pilot Grove, IA
Past
May 29, 2015 - October 20, 2018
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
MT. PLEASANT, IA
Past
March 11, 2011 - October 20, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
MT. PLEASANT, IA
Past
May 27, 2010 - March 4, 2011
LWBJ INVESTMENT SERVICES, LLC
BD
CRD#: 150606
WEST DES MOINES, IA
Past
June 4, 2007 - February 12, 2009
FIRST NATIONAL CAPITAL MARKETS
BD
CRD#: 115920
DES MOINES, IA
Past
August 1, 2006 - October 12, 2007
CYBUS CAPITAL MARKETS, LLC
BD
CRD#: 38885
ROSEVILLE, CA
Past
November 25, 2000 - February 22, 2005
AMCORE INVESTMENT SERVICES, INC
BD
CRD#: 27708
ROCKFORD, IL
Past
July 28, 2000 - October 19, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 28, 2000 - October 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(10/22/2018)
RR
Illinois(10/20/2018)
RR
Indiana(10/20/2018)
RR
Iowa(10/20/2018)
IAR
Iowa(10/20/2018)
RR
Minnesota(6/24/2019)
RR
Missouri(11/14/2024)
RR
Nebraska(10/4/2023)
RR
South Dakota(10/20/2018)
RR
Texas(10/20/2018)
IAR
Texas(10/24/2018)
RR
Wisconsin(5/28/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 12/5/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationSRO 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.
