James J. Butler
Professional summary
James John Butler, who also goes by Jim Butler, is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Petaluma, California.
James is registered as a RR (Registered Representative) and started their career in finance in 1980. James has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James John Butler's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 405 East D Street, Suite E, Petaluma, CA 94952December 3, 1997 - December 9, 2022
CANTELLA & CO., INC.
October 23, 1989 - August 30, 1997
SMITH CULVER INVESTMENTS
October 25, 1988 - October 31, 1989
ACUMENT SECURITIES, INC.
February 23, 1988 - November 5, 1988
A. F. GREEN & COMPANY, INC.
August 28, 1987 - March 10, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
January 6, 1986 - September 15, 1987
A. F. GREEN & COMPANY, INC.
April 23, 1985 - December 23, 1985
B.O.C.L. SECURITIES CORP.
November 17, 1983 - March 19, 1985
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
November 15, 1980 - December 6, 1983
CALIFORNIA MUNICIPAL INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/9/2022)
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Exams
FINRA
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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Company Information
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543Petaluma, CA 94952TRUST BUT VERIFY
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