WM
William R. Mumpower
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Bluffton, SC
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CRD#: 1250036
WM
Professional summary
William R Mumpower, CFP®, CLU®, who also goes by Bill Mumpower, William Ralph Mumpower, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Bluffton, South Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in John Creek, Georgia.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. William has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Mumpower | William Ralph Mumpower
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-40/WK-40/TRADING. SEE EMPLOYMENT FOR START DATE. 2. INDEPENDENT INSURANCE AGENT, 6470 East Johns Crossing, Ste 450, Johns Creek GA 30097, 09/1976 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL. 12 HR/MO - 8 HR/MO TRADING 3. WILLIAM R. MUMPOWER LLC, 6470 East Johns Crossing, Ste 450, Johns Creek GA 30097, United States, 07/01/2011, MEMBER/MANAGER, Owner/Partner of a Business Entity, NIR, 5/MO-0/TRADING. 4. ADVISORYSOUTH HOLDINGS, LLC, 6470 East Johns Crossing, Ste 450, Johns Creek GA 30097, United States, 04/03/2020, CO-OWNER - MEMBER AND MANAGER- LLC, Owner/Partner of a Business Entity, NIR, 1/MO- 0/TRADING 5. ADVISORYSOUTH JOHNS CREEK, LLC / Suwanee GA 30024 / 02/01/2022 / NIR / MEMBER & MANAGER PASS-THROUGH BUSINESS / 5HR/MO - 2HR/MO TRADING 6. HAMPTON HALL CLUB, 170 Hampton Hall Blvd, Bluffton SC 29910, 01/2025, COMMITTEE MEMBER, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2 HR/MO - 0 HR/MO TRADING. 7. WILLIAM R. MUMPOWER (CONSULTING), 6470 E Johns Xing, Ste 450, Johns Creek GA 30097, United States, 01/02/2025, Consulting, NIR, 2 HR/MO - 2 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view William R Mumpower'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®
CFP®
Start date: 1990
Experience
Current
August 27, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 6470 East Johns Crossing Ste 450, Johns Creek, GA 30097RIA
CRD#: 134139
Bluffton, SC
Current
August 27, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 6470 East Johns Crossing Ste. 450, John Creek, GA 30097BD
CRD#: 39543
John Creek, GA
Past
January 1, 2001 - September 10, 2019
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
ATLANTA, GA
Past
May 3, 1999 - September 10, 2019
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ATLANTA, GA
Past
August 13, 1991 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
March 6, 1987 - August 1, 1991
TRANSAMERICA SECURITIES SALES CORPORATION
BD
CRD#: 17970
LOS ANGELES, CA
Past
June 20, 1984 - August 1, 1991
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
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(8/27/2019)
RR
Colorado(8/27/2019)
RR
Connecticut(1/3/2023)
RR
Florida(8/27/2019)
RR
Georgia(8/27/2019)
IAR
Georgia(8/28/2019)
RR
Nevada(5/6/2024)
RR
New Mexico(8/17/2021)
RR
North Carolina(9/10/2019)
RR
South Carolina(8/27/2019)
IAR
South Carolina(11/6/2023)
RR
Tennessee(8/27/2019)
RR
Texas(8/27/2019)
IAR
Texas(8/27/2019)
RR
Virginia(7/23/2025)
RR
Washington(8/27/2019)
Exams
State Security Law Exam
State Security Law Exam
General 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.
