CE
Carole Enisman
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Fort Lauderdale, FL 33309
Some features on this profile are disabled
CRD#: 1201809
CE
Professional summary
Carole Enisman, who also goes by Carole Ellen Enisman, Carole Ellen Enisman Ryan, Carole Ellen Enisman-ryan, Carole Ellen Gopen, Carole Ellen Ryan, Carole Enisman Ryan, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Fort Lauderdale, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fort Lauderdale, Florida.
Carole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Carole has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 62, Series 6, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carole Ellen Enisman | Carole Ellen Enisman Ryan | Carole Ellen Enisman-Ryan | Carole Ellen Gopen | Carole Ellen Ryan | Carole Enisman Ryan
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) UNITED WAY OF BROWARD COUNTY, 1300 S ANDREWS AVE FORT LAUDERDALE FL, 05/2021, COMMITTEE MEMBER, NIR, 5 HR/MO 0 HR/MO TRADING 2) PREMIER TAX PLANNING, 6365 NW 6TH WAY FORT LAUDERDALE FL, 04/2019, TAX PROFESSIONAL, TAX RETURN REVIEW, NIR, 5 HR/MO 0 HR/MO TRADING 3) PREMIER WEALTH PLANNING, 6365 NW 6TH WAY FORT LAUDERDALE FL, 04/2019, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 120 HR/MO 120 HR/MO TRADING 4) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 12/2019, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO 80 HR/MO TRADING 5) JOE DIMAGGIO CHILDRENS HOSPITAL, 1005 JOE DIMAGGIO DR HOLLYWOOD FL, 10/2023, COMMITTEE MEMBER, CHARITY, NIR, 3 HR/MO 3 HR/MO TRADING 6) PREMIER TAX PLANNING TEAM, 6365 NW 6th Way, Suite 160, Fort Lauderdale FL 33309, 01/01/1800, Owner, Accounting/Bookkeeping/Payroll Services, NIR, 10 HR/MO, 8 HR/MO TRADING. 7) PREMEIR WEALTH PLANNNING TEAM D/B/A PREMIER BOOKEEPING AND TAX SERVICES, 6365 NW 6TH WAY SUITE 160 FORT LAUDERDALE FL, 06/2024, MANAGER, ACCOUNTING/BOOKKEEPING/PAYROLL SERVICES, NIR, 10 HR/MO 10 HR/MO TRADING 8) PREMIER WEALTH PLANNING TEAM D/B/A PREMIER WEALTH PLANNING, 6365 NW 6TH WAY SUITE 160 FORT LAUDERDALE FL, 06/2024, OWNER, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING 9) GILDAS CLUB OF SOUTH FLORIDA, 4850 Prospect road, Fort Lauderdale FL 33309, United States, 04/2025, Board Member, Volunteer, NIR, 10 HR/MO 0 HR/MO TRADING 10) SOULFUL INSPIRATION, 635 NW 6th Way, Fort Lauderdale FL 33309, United States, 10/01/2025, Founder, Arts/Performing Arts, NIR, 3 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Carole Enisman'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
December 16, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 6365 Nw. 6th Way Suite 160, Fort Lauderdale, FL 33309RIA
CRD#: 134139
Fort Lauderdale, FL
Current
December 13, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 6365 Nw 6th Way Suite 160, Fort Lauderdale, FL 33309BD
CRD#: 39543
Fort Lauderdale, FL
Past
June 4, 2019 - December 24, 2019
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
FORT LAUDERDALE, FL
Past
March 13, 2019 - December 24, 2019
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
FORT LAUDERDALE, FL
Past
June 16, 2016 - March 14, 2019
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
February 7, 2013 - June 13, 2016
STRATCAP SECURITIES, LLC
BD
CRD#: 151152
NEW YORK, NY
Past
January 16, 1998 - May 31, 2013
ASSET & FINANCIAL PLANNING, LTD
RIA
CRD#: 110709
POUGHKEEPSIE, NY
Past
August 13, 1992 - May 31, 2013
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
BOCA RATON, FL
Past
November 22, 1983 - April 26, 1984
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
California(12/17/2019)
RR
Colorado(12/16/2019)
RR
Florida(12/13/2019)
IAR
Florida(1/7/2020)
RR
Kentucky(12/16/2019)
RR
Maryland(12/16/2019)
RR
Montana(8/30/2023)
RR
New Hampshire(12/24/2019)
RR
New Jersey(12/16/2019)
RR
New Mexico(12/16/2019)
RR
New York(12/19/2019)
RR
North Carolina(12/16/2019)
RR
Pennsylvania(12/16/2019)
RR
Texas(12/16/2019)
IAR
Texas(12/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 4/15/1993
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General 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
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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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Fort Lauderdale, FL 33309TRUST BUT VERIFY
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