JW
James A. Womack
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Asheville, NC 28804
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CRD#: 5546023
JW
Professional summary
James Anthony Womack JR, AIF®, who also goes by James Anthony Womack, James Womack, Jay Womack, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Asheville, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Asheville, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. James has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Anthony Womack | James Womack | Jay Womack
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) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, 02/2014, INV REL, 160 HRS/MO - 120 HRS/MO TRADING. 2) AVL FINANCIAL, LLC, 15 PLEASANT HILL DR ASHEVILLE, NC 28804, PRESIDENT, INVESTMENTS AND INSURANCE SALES, 12/09/11, INV REL, 160 HRS/MO - 32 HRS/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view James Anthony Womack JR'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®
Experience
Current
July 2, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 15 Pleasant Hill Dr, Asheville, NC 28804RIA
CRD#: 134139
Asheville, NC
Current
July 2, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 15 Pleasant Hill Dr, Asheville, NC 28804BD
CRD#: 39543
Asheville, NC
Past
March 1, 2017 - July 9, 2020
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
ASHVILLE, NC
Past
March 1, 2017 - July 9, 2020
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
ASHVILLE, NC
Past
February 14, 2014 - March 30, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
ASHEVILLE, NC
Past
February 14, 2014 - March 30, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
ASHEVILLE, NC
Past
July 17, 2012 - February 19, 2014
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
ASHEVILLE, NC
Past
December 15, 2011 - July 16, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
ASHEVILLE, NC
Past
December 15, 2011 - February 18, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
ASHEVILLE, NC
Past
August 27, 2008 - December 19, 2011
EDWARD JONES
RIA
CRD#: 250
ASHEVILLE, NC
Past
July 31, 2008 - December 19, 2011
EDWARD JONES
BD
CRD#: 250
ASHEVILLE, NC
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
California(12/9/2021)
RR
Connecticut(1/10/2022)
RR
Florida(7/2/2020)
RR
Kentucky(3/16/2023)
RR
Maryland(8/20/2020)
IAR
North Carolina(7/2/2020)
RR
North Carolina(7/23/2020)
RR
South Carolina(8/11/2022)
RR
South Dakota(1/20/2022)
Exams
State Security Law 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
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Asheville, NC 28804TRUST BUT VERIFY
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