James B. Mccann
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 Bernard Mccann JR, who also goes by James Bernard Mccann, Jim Mccann Jr, Jim Mccann, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO, Series 22TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2013 - August 1, 2025
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 18, 2009 - August 1, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 2, 2005 - June 18, 2009
MUTUAL SERVICE CORPORATION
August 19, 2005 - June 18, 2009
MUTUAL SERVICE CORPORATION
June 8, 2000 - July 21, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
October 21, 1996 - June 20, 2000
FSC SECURITIES CORPORATION
December 29, 1982 - October 28, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 29, 1982 - October 28, 1996
SIGNATOR INVESTORS, INC.
December 14, 1976 - December 27, 1982
NEW ENGLAND SECURITIES
March 23, 1976 - May 30, 1976
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 23, 1976 - May 30, 1976
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 1
Date: 3/16/1976
Registered Representative ExaminationCurrent 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.
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