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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

James Graham

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Fairfield, IA | Norman, OK

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Search this name across graphsid dfx:ria:7b955e49-68e9-2c58-6755-b0cebdd9bdc8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 14, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 12, 2006
First registration: Mar 14, 2006
Dual registered: yes, broker-dealer
Other names: JAY ASHLEY GRAHAM|JAY GRAHAM|JAMES ASHLEY GRAHAM|James Graham
IAPD individual key: 5034038

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	May 16, 2023	n/a	yes	Fairfield, IA\|Norman, OK	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Aug 11, 2022	May 22, 2023	no	ST. PETERSBURG, FL\|Norman, OK	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 21, 2017	Jul 5, 2022	no	NORMAN, OK\|FORT MILL, SC	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Mar 14, 2006	Aug 18, 2017	no	NORMAN, OK\|NORMAN, OK	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES & ASSOCIATES, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	May 22, 2023	May 16, 2023	-6	Firm change	Ibd to ibd
LPL FINANCIAL LLC	RAYMOND JAMES & ASSOCIATES, INC.	Jul 5, 2022	Aug 11, 2022	37	Firm change	RIA to ibd
VOYA FINANCIAL ADVISORS, INC.	LPL FINANCIAL LLC	Aug 18, 2017	Aug 21, 2017	3	Firm change	Other

Relationships

Registered with (4)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
May 16, 2023 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Aug 11, 2022 to May 22, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 21, 2017 to Jul 5, 2022factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Mar 14, 2006 to Aug 18, 2017factForm ADV

Dated events

Occurred
May 22, 2023
Advisor changed firm
James Graham left Raymond James & Associates, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2023-05-16)
Form ADVobserved 5 days ago
Occurred
Jul 5, 2022
Advisor changed firm
James Graham left Lpl Financial Llc for Raymond James & Associates, Inc. (registered 2022-08-11)
Form ADVobserved 5 days ago