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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

JAMES MARK MADDOX

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Evans, GA

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Search this name across graphsid dfx:ria:a8585c64-150e-2c7b-1304-2a2d23ebd121

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 22, 2003 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: May 17, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 17, 2000
First registration: Apr 22, 2003
Dual registered: yes, broker-dealer
Other names: MARK MADDOX|JAMES M MADDOX
IAPD individual key: 4162770

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	Nov 25, 2025	n/a	yes	Evans, GA	Current employment
DEMPSEY LORD SMITH, LLC	Former SEC adviser	Jan 6, 2026	Apr 3, 2026	no	ROME, GA\|ROME, GA	Previous registration
DEMPSEY LORD SMITH, LLC	Former SEC adviser	Dec 16, 2014	Dec 31, 2025	no	EVANS, GA\|ROME, GA\|CALHOUN, GA	Previous registration
MONTICELLO INVESTMENT SERVICES, INC.	Former SEC adviser	May 7, 2014	Nov 25, 2014	no	NEOSHO, MO\|EVANS, GA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 22, 2003	Jun 28, 2012	no	EVANS, GA\|COLUMBIA, SC\|AUGUSTA, GA	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
DEMPSEY LORD SMITH, LLC	n/a	Apr 3, 2026	n/a	n/a	Departure no registered destination	Departure
DEMPSEY LORD SMITH, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Dec 31, 2025	Nov 25, 2025	-36	Bulk transfer	RIA to ibd
MONTICELLO INVESTMENT SERVICES, INC.	DEMPSEY LORD SMITH, LLC	Nov 25, 2014	Dec 16, 2014	21	Firm change	Other
MSI FINANCIAL SERVICES, INC.	MONTICELLO INVESTMENT SERVICES, INC.	Jun 28, 2012	May 7, 2014	678	Firm change after gap	Other

Relationships

Registered with (4)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Nov 25, 2025 to presentfactForm ADV
→ DEMPSEY LORD SMITH, LLCRegistered adviserregistration: previous registration
Jan 6, 2026 to Apr 3, 2026factForm ADV
→ MONTICELLO INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 7, 2014 to Nov 25, 2014factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 22, 2003 to Jun 28, 2012factForm ADV

Dated events

Occurred
Apr 3, 2026
Advisor departed, no destination yet
James Mark Maddox no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
Form ADVobserved 5 days ago