James Neal Rini

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
SC	RA	APPROVED	2022-06-08

SC RA
APPROVED

Since 2022-06-08

Branch Locations

Hardeeville, SC • United States

121 S Cedar St., Summerville, SC 29483 • 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
Retired	Powell	OH	02/2016	01/2018
Cambridge Investment Research, Inc.	Fairfield	IA	02/2018	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	02/2018	Present

02/2016 → 01/2018

Retired

Powell, OH
02/2018 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
02/2018 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2014-09-22 → 2016-02-26

Ameriprise Financial Services, Llc

Hilton Head, SC
1999-11-26 → 2013-10-04

Ameriprise Financial Services, Llc

Worthington, OH

Worthington, OH

Worthington, OH

Worthington, OH

Other Businesses

1.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. 02/01/18. 2.JAMES N. RINI, 148 Compass Rose Dr, Hardeeville SC, Independent Insurance Agent for Various Insurance Companies, 05/2023, 15 HR/MO, 10 HR/MO Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-09-30

S66 Uniform Combined State Law Examination

2014-09-30

Other Names

Jim Rini

View on SEC IAPD