JD
James J. Denora
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
ANNAPOLIS, MD 21401
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CRD#: 4544690
JD
Professional summary
James J Denora, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Annapolis, Maryland and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Annapolis, Maryland.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. James has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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) CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS INC INV REL: N ADD: 1425 K STREET NW SUITE 500 WASHINGTON DC NATURE: TO BENEFIT PUBLIC BY GRANTING THE CFP DESIGNATION AND UPHOLDING IT AS THE RECOGNIZED STANDARD OF EXCELLENCE FOR PERSONAL FINANCIAL PLANNING POSITION: CFO START DATE:11/30/09 HR/MO:200 HR/MO D TRAD:200 DUTIES: RESPONSIBLE FOR ALL FINANCIAL ACTIVITIES OF THE CFP BOARD 2) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3) CPA/ENROLLED AGENT/TAX PREPARER/ACCOUTING SERVICES, 1610 W ST # 105 ANNAPOLIS MD 21401, 01/1995, CPA. TAX PREPARATION, NIR, 25 HRS/YR 0 HR TRADING 4) ANNE ARUNDEL CONFLICT RESOLUTION CENTER, 2666 RIVA RD STE 130 ANNAPOLIS MD, 07/2018, TREASURER, NIR, 4 HR/MO 0 HR/MO TRADING 5) EPPING FOREST, INC 354 SEVERN ROAD ANNAPOLIS MD, COMMUNITY VOLUNTEER, 01/2005, NIR, 3 HR/MO 0 HR/MO TRADING 6) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 12/2010, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING 7) LEADING EDGE WEALTH ADVISORS LLC, 2007 TIDEWATER COLONY DRIVE SUITE 2B ANNAPOLIS MD 21401, 06/2013, SECURITIES DBA, INV REL, 160 HR/MO 160 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view James J Denora'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®
CFP®
Start date: 2004
Experience
Current
December 7, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2007 Tidewater Colony Dr. Ste 2b, Annapolis, MD 21401RIA
CRD#: 134139
ANNAPOLIS, MD
Current
December 7, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2007 Tidewater Colony Dr Ste 2b, Annapolis, MD 21401BD
CRD#: 39543
Annapolis, MD
Past
April 25, 2007 - December 16, 2010
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ANNAPOLIS, MD
Past
April 18, 2007 - December 16, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ANNAPOLIS, MD
Past
March 20, 2006 - April 18, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
ANAPOLIS, MD
Past
June 17, 2002 - April 18, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
ANAPOLIS, MD
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(4/26/2024)
RR
Delaware(4/26/2024)
RR
District of Columbia(4/26/2024)
RR
Florida(12/7/2010)
RR
Indiana(4/26/2024)
RR
Kansas(1/13/2015)
RR
Kentucky(4/26/2024)
RR
Maine(4/26/2024)
RR
Maryland(12/7/2010)
IAR
Maryland(12/7/2010)
RR
Massachusetts(4/26/2024)
RR
Michigan(4/1/2020)
RR
New Mexico(5/9/2023)
RR
New York(4/26/2024)
RR
North Carolina(2/3/2015)
RR
Pennsylvania(3/14/2016)
RR
Texas(10/20/2023)
IAR
Texas(10/20/2023)
RR
Vermont(4/26/2024)
RR
Virginia(12/7/2010)
RR
Washington(12/7/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
