AS
Anne N. Spinks
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
CONROE, TX
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CRD#: 1155667
AS
Professional summary
Anne Nevotti Spinks, ChFC®, CLU®, who also goes by Anne Elizabeth Nevotti, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Conroe, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Conroe, Texas.
Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Anne has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anne Elizabeth Nevotti
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 200/YR - 500/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2) FIRST PRESBYTERIAN CHURCH OF CONROE, 2727 N LP 336 WEST, CONROE, TX, 10/2018 AS ELDER/DISCIPLESHIP COMMITTEE MEMBER/ENDOWMENT COMMITTEE MEMBER. NIR - 5/MO - 0/TRADING. 3) NEVOTTI SPINKS ASSET MANAGEMENT, 914 BUSH BUCK LN, CONROE, TX, 6/1995 SA OWNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 20/YR - 20/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Anne Nevotti Spinks's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
August 20, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 3000 Wind River Lane Suite 110, Denton, TX 76210RIA
CRD#: 134139
CONROE, TX
Current
August 20, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #2: 3000 Wind River Lane Suite 110, Denton, TX 76210BD
CRD#: 39543
CONROE, TX
Past
January 3, 2007 - August 21, 2009
MUTUAL SERVICE CORPORATION
RIA
CRD#: 4806
RICHMOND, TX
Past
August 24, 2004 - August 21, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
RICHMOND, TX
Past
December 18, 2003 - August 26, 2004
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
June 3, 1992 - December 31, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
March 31, 1989 - December 31, 1999
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
July 20, 1983 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
BD
CRD#: 7291
NORTH PALM BEACH, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/15/2017)
RR
Alaska(1/2/2014)
RR
California(8/20/2009)
RR
Colorado(6/1/2021)
RR
District of Columbia(5/8/2023)
RR
Florida(8/20/2009)
RR
Georgia(8/16/2018)
RR
Iowa(1/3/2017)
RR
Maryland(1/3/2017)
RR
Nebraska(8/20/2009)
RR
New Jersey(12/9/2022)
RR
New Mexico(9/6/2013)
RR
North Dakota(5/15/2017)
RR
Texas(8/20/2009)
IAR
Texas(8/20/2009)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
