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1380 Lead Hill Blvd Suite 180, Roseville, CA 95661 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APP_PEND_IARCE | 2026-01-01 |
Branch Locations
2700 Lighthouse Point E Suite 501, Baltimore, MD 21224 • United States
1380 Lead Hill Blvd Suite 180, Roseville, CA 95661 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research | Fairfield | IA | 12/2019 | 11/2023 |
| Cambridge Investment Research | Fairfield | IA | 12/2019 | 11/2023 |
| James Rainwater Cpa Llc | Bel Air | MD | 09/2011 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 01/2020 | 11/2023 |
| Concorde Investment Services | Ann Arbor | MI | 11/2023 | 12/2025 |
| Bangerter Financial Services, Inc. | Roseville | CA | 11/2024 | Present |
| Concorde Asset Management, Llc | Ann Arbor | MI | 11/2023 | 09/2025 |
| Concorde Insurance Agency | Ann Arbor | MI | 11/2023 | 12/2025 |
| Cira | Fairfield | IA | 11/2020 | Present |
| Rainwater Planning Llc | Bel Air | MD | 11/2020 | Present |
| Rainwater Planning Llc | Bel Air | MD | 06/2020 | Present |
| Sole Proprietor | Bel Air | MD | 02/2019 | Present |
1) CIRA, 1776 Pleasant Plain Rd, Fairfield IA, As Advisory Rep of a RIA. Producer, Insurance producer. Insurance to broker dealer relationships. Start date 11/01/2020, 1-5 hours/month during non trading hours, 1-5 hours/month during trading hours. 2) Bangerter Financial, Outside RIA Affiliation. Investment Related. Start date: Dec. 1, 2024. 1380 Lead Hill Blvd, Suite 180. Roseville, CA 95661. IAR. 1-5 hours during non-trading hours. 1-5 hours during trading hours. 3) James Rainwater CPA LLC, Non Investment related, Bel Air, MD 21015, CPA Firm, CEO/Owner, CPA/enrolled agent/tax prep/account services, monetized installment sales, commissions & fees on products. Start date 09/01/2011, Owner/CEO, 40 + hours during nontrading hours, 40 + during trading hours. 4) Rainwater Planning LLC, Investment related,1011Henderson Rd, Bel Air MD 21015, DBA Managing Member, IUL Insurance, Insurance Producer, Start 11/01/2020, 1-5 hours/month during non trading hours, 1-5 hours/month during trading hours. 5) James Rainwater, Non Investment related, 1011 Henderson Rd, Bel Air MD, Sole Proprietor, Independent Insurance Agent for various Independent Insurance Companies, Start 02/01/19, 1-5 hours/month during non trading hours, 1-5 hours/month during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-11-25 |
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