James M. Cook
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
BUFFALO GROVE, IL
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CRD#: 5856877
Professional summary
James Michael Cook, CFP®, who also goes by James Cook, Jim Cook, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Buffalo Grove, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Buffalo Grove, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. James has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Cook | Jim Cook
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) INDEPENDENT INSURANCE AGENT, BUFFALO GROVE IL, 10/2010 FOR VARIOUS INSURANCE COMPANIES. INV REL, 80 HR/MO 80 HR/MO TRADING 2) WINCHESTER ESTATES HOMEOWNER ASSOC, BUFFALO GROVE IL, 06/2012, AS SECRETARY. NIR, 4 HR/MO 1 HR/TRADING 3) JIM COOK CONSULTING INC, 97 WOODSTONE DR BUFFALO GROVE IL, 11/2007, AS OWNER/PRESIDENT OF S-CORP FOR LIABILITY PURPOSES. NIR, 8 HR/YR 0 HR/TRADING 4) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 11/2014, AS ADVISORY REP OF A RIA. INV REL, 40 HR/WK 40 HR/TRADING 5) MARKETING THE COOL WAY, 97 Woodstone Drive, Buffalo Grove IL 60089, United States, 09/18/2017, Owner, Owner/Partner of a Business Entity, NIR, 60 HR/MO - 20 HR/MO TRADING 6) JAMES M. COOK, 97 Woodstone Drive, Buffalo Grove IL 60089, United States, 03/01/2025, Game Director, Video Fame Development, NIR, 60 HR/MO 25 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Cook'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: 2017
Experience
Current
November 21, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
BUFFALO GROVE, IL
Current
November 21, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
BUFFALO GROVE, IL
Past
June 9, 2011 - December 1, 2014
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Northbrook, IL
Past
January 17, 2011 - December 1, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Northbrook, IL
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(5/28/2019)
RR
California(1/4/2016)
RR
Colorado(8/25/2016)
RR
Delaware(8/6/2024)
RR
District of Columbia(1/3/2022)
RR
Florida(8/25/2016)
RR
Georgia(8/25/2016)
RR
Illinois(11/21/2014)
IAR
Illinois(11/21/2014)
RR
Indiana(8/25/2016)
RR
Kansas(2/17/2025)
RR
Kentucky(1/6/2017)
RR
Maryland(1/4/2016)
RR
Michigan(1/3/2019)
RR
Minnesota(8/14/2018)
RR
Missouri(8/25/2016)
RR
Nevada(1/2/2020)
RR
New York(12/20/2024)
RR
North Carolina(3/13/2019)
RR
Ohio(11/5/2018)
RR
Pennsylvania(1/2/2020)
RR
Texas(1/6/2017)
IAR
Texas(1/6/2017)
RR
Virginia(1/2/2018)
RR
Washington(8/9/2023)
RR
Wisconsin(7/27/2016)
RR
Wyoming(1/3/2022)
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
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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.
