James Dana Miller

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	2006-09-13

TX RA
APPROVED

Since 2006-09-13

Branch Locations

2920 Eastex Freeway, Beaumont, TX 77703 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Cambridge Investment Research, Inc	Fairfield	IA	09/2006	Present
Cambridge Investment Research Advisors, Inc	Fairfield	IA	09/2006	Present
Cambridge Investment Research, Inc.	Fairfield	IA	04/2009	Present

09/2006 → Present

Cambridge Investment Research, Inc

Fairfield, IA
09/2006 → Present

Cambridge Investment Research Advisors, Inc

Fairfield, IA
04/2009 → Present

Cambridge Investment Research, Inc.

Fairfield, IA

Other Businesses

1. MILLER CHAFFIN RETIREMENT SERVICES, 2920 EASTEX FRWY, BEAUMONT, TX, 9/2006 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 0/MO - 1/TRADING. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3. CARL E HANKS, GUARDIAN AS OF 10/06/2020 - GUARDIAN/PAYEE.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-01-30
S63	Uniform Securities Agent State Law Examination	1983-07-06

S65 Uniform Investment Adviser Law Examination

2006-01-30
S63 Uniform Securities Agent State Law Examination

1983-07-06

Other Names

Dan Miller

View on SEC IAPD