James R. Culberson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Richard Culberson was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2019 - February 2, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 17, 2019 - February 2, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 3, 2014 - September 25, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 3, 2014 - September 25, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 5, 2012 - October 13, 2014
LPL FINANCIAL LLC
December 4, 2012 - October 13, 2014
LPL FINANCIAL LLC
June 27, 2008 - December 12, 2012
OSAIC FA, INC.
June 27, 2008 - December 12, 2012
OSAIC FA, INC.
December 13, 2006 - June 10, 2008
MML INVESTORS SERVICES, LLC
May 4, 2006 - June 10, 2008
MML INVESTORS SERVICES, LLC
July 30, 2003 - April 12, 2006
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
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.
