RS
Robert L. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Columbus, OH 43220
Some features on this profile are disabled
CRD#: 1169117
RS
Professional summary
Robert Lee Smith JR, who also goes by Robert L Smith Jr, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Columbus, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Columbus, Ohio.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 4 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert L Smith Jr
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) Smith & Leavitt Insurance Services, 4942 Reed Rd., Columbus, OH, 43220, President, as independent insurance agent through various independent insurance companies. INV REL - 50/WK - 7/TRADING. 2) Smith Insurance Services, Inc., 1/1/90, President/Owner as independent insurance agent through various independent insurance companies. INV REL - 0/EK - 0/TRADING. 3) Alternative Risk Transfer, LLC, 4942, Reed Rd. Columbus, OH 43220, member since 7/1/02, non-investment related, 5/wk - 3/trading. 4) Marshlynn-Reed Corp, 4942 Reed Rd., Columbus, OH 43220, President since 7/1/93, non-investment related, 3/wk - 0/trading. 5. RENTAL PROPERTY OWNER, POWELL, OH, 5/1993. NIR - 3/YR - 0/TRADING. 6. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 7. SECURE PATH ADVISORY GROUP, INC, 4930 REED RD, COLUMBUS, OH, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, PRESIDENT, INV REL, 11/01/18, 10/WK- 2/TRADING 8. FRANCHISE INSURANCE AGENCY INC. DBA LEAVITT GROUP MIDWEST, 570 Polaris Parkway Suite 450, Westerville OH 43082, 09/18/2023, Agent, Insurance/Benefits/Human Resources, NIR, 150 HR/MO - 150 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Robert Lee Smith JR'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®
NoneExperience
Current
November 1, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 4942 Reed Road, Columbus, OH 43220Office #2: 285 Main St., Bellville, OH 44813Office #3: 4200 Hoover Rd., Grove City, OH 43123RIA
CRD#: 134139
Columbus, OH
Current
November 1, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 4942 Reed Road, Columbus, OH 43220Office #2: 285 Main St., Bellville, OH 44813Office #3: 4200 Hoover Rd., Grove City, OH 43123BD
CRD#: 39543
Columbus, OH
Past
August 1, 2008 - October 31, 2018
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
COLUMBUS, OH
Past
August 1, 2008 - October 31, 2018
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
March 2, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
COLUMBUS, OH
Past
January 17, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
COLUMBUS, OH
Past
July 17, 1983 - February 23, 2007
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
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
Delaware(11/1/2018)
RR
Florida(11/1/2018)
RR
Michigan(9/18/2019)
RR
North Carolina(5/30/2019)
RR
Ohio(11/1/2018)
IAR
Ohio(11/1/2018)
RR
South Carolina(7/23/2021)
RR
Texas(11/1/2018)
IAR
Texas(11/1/2018)
RR
Virginia(11/1/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
