Roy William Ness

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
  Cambridge Investment Research, Inc
  Fairfield, IA
• 01/2011 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2008-08-15 → 2011-01-03
  Financial West Group
  Grand Junction, CO
  Grand Junction, CO

Other Businesses

1)RR, LLC, 145 GRAND AVE., STE A, GRAND JUNCTION, CO 81501. BEGAN 6/23/2009 AS OWNER OF 4,000 SQ. FOOT OFFICE BUILDING THAT HAS 5 UNITS, ONE IS RENTED FOR FINANCIAL SERVICES BUSINESS. NOT INVESTMENT RELATED. DEVOTES 5HR/MO, 0/TRADE. 2)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 10/MO - 5/TRADING. 01/03/11, SEE EMPLOYMENT HISTORY FOR START DATE. 3)OWNER OF RENTAL TOWN HOME, GRAND JUNCTION, CO 81506. BEGAN 01/01/2012. NOT INVESTMENT RELATED. DEVOTES 1 HR/YR. NONE DURING TRADING. 4)Independent Insurance Agent for Various Insurance Companies. 145 Grad Ave Suite A Grand Junction CO 81501. 7/2/1987. Investment related. 12hrs yearly and 0hrs during trading. 5)CAMBRIDGE INVESTMENT RESEARCH, 145 Grand Ave A, Grand Junction CO 81501, United States, 01/03/2011, Financial Professional, DBA Name, NIR, 40 HR/MO - 40 HR/MO TRADING 6)RR, LLC, 145 Grand Ave, Suite A, Grand Junction CO 81501, United States, 06/23/2009, Owner, Real Estate, NIR, 5 HR/MO - 0 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-03-02
• S63 Uniform Securities Agent State Law Examination
  1984-10-12

Designations

• Certified Financial Planner