James Wallace
James Wallace is a CFP-designated registered investment advisor at Cambridge Investment Research Advisors, INC., based in Cary, NC, with 19 years of industry experience. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 323,031 clients with $100B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Cambridge Investment Research Advisors (CIRA) offers investment management services through several platforms. Fees are based on a percentage of your portfolio's value and are negotiable. The maximum annual fee is 2.25%. Fees can be structured as flat, tiered, or breakpoint. You may also encounter setup fees and service fees. Fees are typically deducted directly from your account. CIRA also offers WealthPort, a wrap fee program with inclusive fees. The WealthPort maximum advisory fee is 2.25% annually.
Location
Cary, NC
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is an advisory representative of an RIA (CIRA) and an independent insurance agent for various independent insurance agencies (Oakhouse Advisors). He dedicates full-time hours to CIRA and about a quarter of his time to Oakhouse Advisors.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
Previous Registrations
Lincoln Financial Securities Corporation
Lincoln Financial Securities CorporationBroker
Securities America, INC.Broker
Securities America Advisors, INC.
Lincoln Financial Securities Corporation
Lincoln Financial Securities CorporationBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.