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JAMES PATRICK COSTELLO
Patrick Costello
CRD#: 2477753
IA
Investment Adviser
B
Broker Regulated by FINRA
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 4380 Redwood Highway, Suite A-8
San Rafael, CA 94903
+1
Registration History
19952000200520102015202020252 FIRMS2002 - 2013 (11 years)2 FIRMS2013 - 2016 (3 years)2 FIRMS2016 - Present (8 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)1998 - 2002 (3 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)1997 - 1998 (<1 year)BFINANCIAL WEST GROUP (CRD# 16668)1996 - 1997 (<1 year)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1996 - 1996 (<1 year)BSPELMAN & CO., INC. (CRD# 10232)1994 - 1995 (1 year)
License(s)

State Registrations

B
California

B
Minnesota

IA
California

B
New Mexico

B
Hawaii

B
Washington

B
Maine

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
4380 Redwood Highway, Suite A-8, San Rafael, CA 94903
1776 PLEASANT PLAIN RD., FAIRFIELD, IA 52556-8757
Registered with this firm since 6/10/2016

IA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139)
4380 Redwood Highway, Suite A-8, San Rafael, CA 94903
Registered with this firm since 6/10/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/16/2013 - 07/22/2016 PROTECTED INVESTORS OF AMERICA (CRD#:6082) San Anselmo, CA
B
07/16/2013 - 07/22/2016 PROTECTED INVESTORS OF AMERICA (CRD#:6082) San Anselmo, CA
IA
03/05/2002 - 07/31/2013 ESI FINANCIAL ADVISORS (CRD#:265) SAN RAFAEL, CA
B
02/05/2002 - 07/31/2013 EQUITY SERVICES, INC. (CRD#:265) SAN RAFAEL, CA
B
03/18/1998 - 01/03/2002 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) ST. PETERSBURG, FL
B
09/03/1997 - 02/12/1998 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
11/04/1996 - 08/27/1997 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
RENO, NV
B
01/19/1996 - 03/04/1996 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
04/29/1994 - 11/06/1995 SPELMAN & CO., INC. (CRD#:10232) PHOENIX, AZ
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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