James Milton Mound

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

• 06/2008 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 06/2008 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2004-01-01 → 2008-06-24
  Cetera Advisors Llc
  Yukon, OK
• 2002-03-29 → 2004-01-01
  Ifg Advisory Services Inc
  Yukon, OK

Other Businesses

1) JAMES MOUND, 324 BIRMINGHAM, DRIVE OFALLON, MO, INDEPENDENT INSURANCE FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 01/01/69, NIR, 10/YR-1 TRADING 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 06/19/2008 3) FINANCIAL RESOURCES GROUP, 324 Birmingham Drive, OFALLON MO 63366, 06/26/2024, Owner, Using a Trade Name/dba, NIR, 100 HR/MO, 100 HR/MO TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-07-08
• S63 Uniform Securities Agent State Law Examination
  1987-01-15

Other Names

• Jim Mound