James Mark Maddox

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

• 01/2011 → Present
  First Upc Of Augusta
  Augusta, GA
• 11/2014 → 11/2025
  Dempsey Lord Smith, Llc
  Rome, GA
• 11/2025 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 12/2014 → 03/2026
  Dempsey Lord Smith, Llc
  Rome, GA
• 11/2025 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2026-01-06 → 2026-04-03
  Dempsey Lord Smith, Llc
  Rome, GA
  Rome, GA
• 2014-12-16 → 2025-12-31
  Dempsey Lord Smith, Llc
  Evans, GA
  Rome, GA
  Calhoun, GA
• 2014-05-07 → 2014-11-25
  Monticello Investment Services, Inc.
  Neosho, MO
  Evans, GA
• 2003-04-22 → 2012-06-28
  Msi Financial Services, Inc.
  Evans, GA
  Columbia, SC
  Augusta, GA

Other Businesses

1. FIRST UNITED PENTECOSTAL CHURCH, 1929 Fenwick Street, Augusta GA 30904, United States, 01/1929, President, Church/Religious Institution, INV REL, 160 HR/MO - 2 HR/MO TRADING 2. MADDOX FINANCIAL, 4195 Aerie Cir, Evans GA 30809, United States, 11/2025, Owner, Insurance/Benefits/Human Resources, NIR, 10 HR/MO - 10 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-09-10
• S63 Uniform Securities Agent State Law Examination
  2000-05-17

Other Names

• Mark Maddox
• James M Maddox