James Andrew Holroyd

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2013 → 03/2024
  Principal Life Ins Co
  Tacoma, WA
• 03/2016 → 03/2024
  Principal Securities Inc
  Tacoma, WA
• 03/2024 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 03/2024 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2013-11-08 → 2024-03-05
  Principal Securities, Inc.
  Tacoma, WA
  Tacoma, WA
  Seattle, WA
• 2011-09-13 → 2013-04-30
  Msi Financial Services, Inc.
  Tacoma, WA

Other Businesses

1) CRUMP INSURANCE, 1916 130th St Ct S, Tacoma WA 98444, 03/2024, Agent, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 20 HR/MO - 20 Trading 2) UNION FINANCIAL, 1916 130th St Ct S, Tacoma WA 98444, 03/2024, Agent, Utilizing a dba for Retirement Planning, INV REL, 5 HR/MO, 5 -Trading 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING, 03/04/2024

Exams

• S66 Uniform Combined State Law Examination
  2011-08-01
• S63 Uniform Securities Agent State Law Examination
  1988-10-13

Designations

• Certified Financial Planner

Other Names

• Jim Holroyd