James D. Landingham
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 Douglas Landingham, who also goes by Jim Landingham, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 9 firms and has passed the Series 63, SIE, Series 62, Series 22, Series 6, Series 1, Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2005 - September 17, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 16, 2005 - September 17, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 23, 2004 - September 20, 2005
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 2, 2004 - September 20, 2005
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 21, 2003 - December 31, 2003
FRANK CHAPPELLE & CO., INC.
March 14, 1997 - February 21, 2003
SECURITIES SERVICE NETWORK, LLC
December 10, 1996 - March 14, 1997
IFG NETWORK SECURITIES, INC.
January 29, 1993 - December 11, 1996
BUCKHEAD FINANCIAL CORPORATION
June 28, 1990 - February 10, 1992
MML INVESTORS SERVICES, LLC
September 14, 1988 - June 15, 1990
BMA FINANCIAL SERVICES, 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 62
Date: 6/1/1995
Corporate Securities Limited Representative ExaminationSeries 1
Date: 5/10/1977
Registered Representative ExaminationSeries 2
Date: 6/8/1973
Non-Member General Securities 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
