James
Galloway

Cambridge Investment Research Advisors, Inc

CRD#7289958
Investment Advisor
in East Windsor, CT

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About this Advisor

James Galloway is a financial advisor operating in East Windsor, Connecticut with a total of 3 years of relevant experience. Galloway currently works for Cambridge Investment Research Advisors, Inc. Over the course of their career, Galloway has held roles at Cambridge Investment Research Inc, Cambridge Investment Research Advisors Inc, Enfield Public Schools, Plainville Public Schools, Broward Public Schools, Somers Public Schools and Keene State College. Galloway has Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and can operate in Connecticut. Cambridge Investment Research Advisors, Inc is a registered investment firm headquartered in Fairfield, IA. The firm has offices in 2,023 locations and a total of 3,352 advisors. It oversees $82 billion in total assets across its 461,370 client accounts, making it one of the biggest investment advisory firms in the United States by assets under management. The firm serves six charitable organizations. Of its 461,370 customer accounts, just 10% are held by high-net-worth clients who have at least $1 million in investable assets. The business provides a broad set of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, market timing services and educational seminars. Fees for financial management vary depending on which service is offered. Fees charged by Cambridge Investment Research Advisors, Inc can include some blend of asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

3 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Market timing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others

Office Location

1 Pasco Dr.
East Windsor, CT 06088

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Cambridge Investment Research Advisors, Inc Brokerage Details

Total Assets Under Management

$82,427,818,654

CT Average: $9,259,360,772
Total Number of Employees

3,352

CT Average: 166
Total Number of Accounts

461,370

CT Average: 7,189
Average Account Size

$178,659

CT Average: $1,287,990

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Market timing services
  • Educational seminars/workshops

James Galloway Work History

James has been registered as a financial advisor for 3 years.*

2021 - Present (3 years)

Cambridge Investment Research Inc

2020 - Present (4 years)

Cambridge Investment Research Inc

2020 - Present (4 years)

Cambridge Investment Research Advisors Inc

2017 - Present (7 years)

Enfield Public Schools

2015 - 2017 (2 years)

Plainville Public Schools

2014 - 2015 (1 year)

Broward Public Schools

2013 - 2014 (1 year)

Somers Public Schools

2008 - 2013 (5 years)

Keene State College

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of James Galloway to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Cambridge Investment Research Advisors, Inc

Stacy Robinson
South Haven, MI
Kenneth Dehart
Charlotte, NC
Richard Habel
Salt Lake City, UT
Mitchell Robinson
Tulsa, OK
Ryan Grote
Cincinnati, OH
Enrico Bawar
Staten Island, NY
Ryan Bouchard
Kennesaw, GA
John Ladick
Fairfield, IA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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