Steve Allen James

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:

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2008-01-09
AZ	RA	APPROVED	2007-05-30

TX RA
APPROVED

Since 2008-01-09
AZ RA
APPROVED

Since 2007-05-30

Branch Locations

Tempe, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cambridge Investment Research, Inc	Fairfield	IA	03/2004	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	10/2006	Present

03/2004 → Present

Cambridge Investment Research, Inc

Fairfield, IA
10/2006 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Other Businesses

1) INSURANCE ADVOCATES, 1001 KAMOKILA STE 205 KAPOLEI HI, 05/2009 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 10 HR/YR 0 HR/TRADING 2) JAMES GANG HOLDINGS LLC, 2405 W WEATHERBY WAY CHANDLER AZ, 08/2015, PRESIDENT, REAL ESTATE HOLDING COMPANY, INV REL, 40 HR/WK 40/TRADING 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 03/2004, AS ADVISORY REP OF A RIA. INV REL, 80 HR/MO 80 HR/MO TRADING 4) JAMES FAMILY INVESTMENT SERVICES INC, 2405 W WEATHERBY WAY CHANDLER AZ, OWNER, 05/2006, INV REL, 20 HR/MO 0 HR/MO TRADING 5) PJ ADVISOR GROUP, TEMPE AZ 85284, 03/2023, President, PJ advisor Group is the OSJ that I Operate at Cambridge, NIR, 120HR/MO 120HR/MO TRADING 6) SUMMIT FINANCIAL SOLUTIONS, 430 W WARNER RD SUITE 123 TEMPE AZ, 01/01/2018, IAR, DBA, INV REL, 120 HR/MO 120 HR/MO TRADING 7) LADDERRE HOLDINGS LLC, PHOENIX AZ, 08/2024, OWNER, P&C INSURANCE COMPANY, 0 HR/MO 0 HR/MO TRADING

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-05-15
S63	Uniform Securities Agent State Law Examination	2000-04-01

S66 Uniform Combined State Law Examination

2007-05-15
S63 Uniform Securities Agent State Law Examination

2000-04-01

View on SEC IAPD