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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

JOHN MICHAEL JAMES

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Bellevue, NE

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Search this name across graphsid dfx:ria:816f8f9c-d119-49f6-eb2a-95735f2fc881

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 22, 2002 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: Jun 25, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jun 25, 1996
First registration: Jan 22, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2738323

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	Sep 20, 2017	n/a	yes	Bellevue, NE	Current employment
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Aug 14, 2015	Sep 19, 2017	no	Bellevue, NE\|Lawrence, KS	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	May 20, 2013	Aug 17, 2015	no	BELLEVUE, NE\|OMAHA, NE\|BELLEVUE, NE	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Mar 26, 2004	May 7, 2013	no	BELLEVUE, NE	Previous registration
LEGACY ADVISORY SERVICES, INC.	n/a	Jan 22, 2002	Mar 29, 2004	no	BELLEVUE, NE	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
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Sep 19, 2017	Sep 20, 2017	1	Firm change	Other
SECURIAN FINANCIAL SERVICES, INC.	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Aug 17, 2015	Aug 14, 2015	-3	Firm change	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	SECURIAN FINANCIAL SERVICES, INC.	May 7, 2013	May 20, 2013	13	Firm change	Other
LEGACY ADVISORY SERVICES, INC.	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Mar 29, 2004	Mar 26, 2004	-3	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
29604:134139:KS:2017-09-19	Sep 19, 2017	Sep 20, 2017	LAWRENCE, KS	Firm change

Relationships

Registered with (4)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Sep 20, 2017 to presentfactForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Aug 14, 2015 to Sep 19, 2017factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 20, 2013 to Aug 17, 2015factForm ADV
→ LEGACY ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jan 22, 2002 to Mar 29, 2004factForm ADV

Dated events

No dated event names this entity yet.