PS
Perry L. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Bellevue, WA 98005
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CRD#: 1279211
PS
Professional summary
Perry Lyle Smith is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Bellevue, Washington and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Bellevue, Washington.
Perry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Perry has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) PERRY L SMITH, 40 LAKE BELLEVUE, STE 100, BELLEVUE, WA, INDEPENDENT INSURANCE AGENT, 6/12/1972 SELLING LIFE & TERM UL PRODUCTS THROUGH FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 32 HR/MO - 15/TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 12/12/2007 AS ADVISORY REP OF A RIA. INV REL - 60 HR/MO - 60/TRADING. 3) PERRY L. SMITH CONSULTING, LLC, 40 LAKE BELLEVUE, STE 100, BELLEVE, WA,01/01/07, INV REL, BUSINESS CONSULTANT, TAX PLANNING FOR PERSOINAL AND BUSINESS, 60 HR/MO- 20/TRADING HR. 4) PERRY L SMITH, Real Estate Broker, 40 LAKE BELLEVUE, STE 100, Bellevue WA. 7/21/1990, not investment related, 10-15/weekly, 2-3/trading 5) PERRY L SMITH - REAL ESTATE BROKER BROKER, 40 Lake Bellevue, Suite 100, Bellevue, WA 98005, United States, START DATE 07/1990, Real Estate Broker, Real Estate, NIR, 60 HR/MO - 12 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Perry Lyle Smith'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 12, 2007 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 40 Lake Bellevue, Suite 100, Bellevue, WA 98005RIA
CRD#: 134139
Bellevue, WA
Current
December 12, 2007 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 40 Lake Bellevue, Suite 100, Bellevue, WA 98005BD
CRD#: 39543
Bellevue, WA
Past
December 30, 1998 - December 13, 2007
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
BELLEVUE, WA
Past
March 16, 1993 - December 13, 2007
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
BELLEVUE, WA
Past
February 5, 1992 - June 22, 1993
PACIFIC HARBOR SECURITIES, INC.
BD
CRD#: 8755
HIGHLAND, UT
Past
May 2, 1990 - February 3, 1992
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
May 31, 1989 - May 14, 1990
FIRST AFFILIATED SECURITIES
BD
CRD#: 23737
LA JOLLA, CA
Past
March 19, 1985 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
BD
CRD#: 6871
SAN DIEGO, CA
Past
January 25, 1985 - March 28, 1985
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
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
Washington(12/12/2007)
IAR
Washington(12/12/2007)
Exams
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
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
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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
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Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Bellevue, WA 98005TRUST BUT VERIFY
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Contact information
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