James Paddock

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

• 09/1996 → 09/2017
  Guardian Life Insurance Co. Of America
  Plains, PA
• 09/2017 → 05/2022
  Park Avenue Securities
  Wilkes-Barre, PA
• 09/2017 → 05/2022
  Guardian Life Insurance Company
  Wilkes-Barre, PA
• 05/2022 → Present
  Guardian Life Insurance Company
  Kingston, PA
• 05/2022 → 02/2024
  Park Avenue Securities
  Kingston, PA
• 02/2024 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 02/2024 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 05/1999 → 09/2017
  Park Avenue Securities Llc
  Plains, PA

Previous Registrations

• 2005-06-16 → 2024-02-23
  Park Avenue Securities Llc
  Plains, PA
  Plains, PA
  Wilkes Barre, PA
  Kingston, PA

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 02/2024, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO 40 HR/MO TRADING 2) FORTY FORT CEMETERY ASSOCIATION, 20 RIVER STREET FORTY FORT PA, 05/2024, COMMITTEE MEMBER, VOLUNTEER, NIR, 5 HR/MO 3 HR/MO TRADING 3) PADDOCK FINANCIAL SERVICES, 400 Third Avenue, Ste. 202, Kingston PA 18704, United States, 02/22/2024, IAR, DBA Name, INV REL, 120 HR/MO 160 HR/MO TRADING 4) FORTY FORT CEMETERY ASSOCIATION, 20 River Street, Forty Fort, PA 18704, United States, 05/22/2024, Committee Member, Volunteer, NIR, 5 HR/MO - 3 HR/MO TRADING 5) JAMES PADDOCK, 400 Third Ave Suite 202 Kingston PA 18704 United States, 03/2026, Agent, Insurance/Benefits/Human Resources, NIR, 5 HR/MO - 5 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-06-03
• S63 Uniform Securities Agent State Law Examination
  1997-04-30