James M Wallace

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

• 08/2014 → 11/2016
  Securities America, Inc.
  Raleigh, NC
• 08/2014 → 11/2016
  Securities America Advisors
  Raleigh, NC
• 11/2016 → 04/2024
  Lincoln Financial Securities Corporation
  Raleigh, NC
• 04/2024 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 04/2024 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2016-11-29 → 2024-04-24
  Osaic Fs, Inc.
  Raleigh, NC
  Cary, NC
• 2014-08-08 → 2016-11-21
  Securities America Advisors, Inc.
  Raleigh, NC
• 2014-03-13 → 2014-08-14
  Osaic Fs, Inc.
  Raleigh, NC
  Raleigh, NC
• 2007-03-29 → 2014-03-04
  Equitable Advisors, Llc
  Cary, NC
  Raleigh, NC

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 04/2024, ADVISORY REP OF AN RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 2) OAKHOUSE ADVISORS, CARY NC 27519, 04/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUSINDEPENDENT INSURANCE AGENCIES, INV REL, 40 HR/MO 20 HR/MO TRADING 3) Oakhouse Advisors, 1107 Carpenter Town Lane, Cary NC 27519, United States, 04/2024, Agent, Insurance/Benefits/Human Resources, Not Investment Related, 40 HR/MO, 20 HR/MO Trading

Exams

• S66 Uniform Combined State Law Examination
  2007-03-13

Designations

• Certified Financial Planner

Other Names

• James M Wallace