BS
Barry J. Schmidt
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Phoenix, AZ 85004
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CRD#: 1494452
BS
Professional summary
Barry Jack Schmidt, who also goes by Barry Roberts, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Phoenix, Arizona and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fairfield, Iowa.
Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Barry has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Barry Roberts
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-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE.
CRS (Client Relationship Summary) - RIA
Click below to view Barry Jack Schmidt'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
September 22, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2700 North Central Avenue 12th Floor, Phoenix, AZ 85004Office #2: 1776 Pleasant Plain Rd., Fairfield, IA 52556-8757RIA
CRD#: 134139
Phoenix, AZ
Current
September 17, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1776 Pleasant Plain Rd., Fairfield, IA 52556-8757Office #2: 2700 North Central Avenue 12th Floor, Phoenix, AZ, 85004BD
CRD#: 39543
Fairfield, IA
Past
April 8, 2016 - August 7, 2017
CONTINUITY PARTNERS GROUP, LLC
BD
CRD#: 151381
FAIRFIELD, IA
Past
October 18, 2007 - September 29, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
EL SEGUNDO, CA
Past
September 20, 2007 - September 29, 2008
LPL FINANCIAL LLC
RIA
CRD#: 6413
EL SEGUNDO, CA
Past
September 28, 2004 - June 29, 2006
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
SANTA MONICA, CA
Past
September 27, 2004 - June 29, 2006
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SANTA MONICA, CA
Past
July 8, 1997 - August 19, 2004
ASSOCIATED SECURITIES CORP.
RIA
CRD#: 12969
LOS ANGELES, CA
Past
July 11, 1994 - August 19, 2004
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
LOS ANGELES, CA
Past
July 26, 1990 - August 19, 2004
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
BOSTON, MA
Past
March 20, 1990 - July 26, 1990
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
June 3, 1986 - April 30, 1990
FIRST EMPIRE SECURITIES, INC.
BD
CRD#: 15129
HAUPPAUGE, NY
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
IAR
Arizona(7/28/2021)
RR
Arizona(8/4/2021)
RR
Iowa(9/17/2010)
IAR
Iowa(9/22/2010)
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
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.
