LW
Laura L. Wilcox
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Greendale, WI
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CRD#: 1680875
LW
Professional summary
Laura Lee Wilcox, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Greendale, Wisconsin and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Greendale, Wisconsin.
Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Laura has worked at 5 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) FINANCIAL PLANNING CENTER FOR WOMEN, 4810 S 76th Street, #205, Greenfield WI 53220, United States, 01/2020, President, Marketing, INV REL, 8 HR/MO 0/HR MO TRADING 2) PRO BONO COMMUNITY EDUCATION, NO BUSINESS ENTITY, SINCE 5/1/2010, OFFER PRO-BONO EDUC TO CIVIC AND OTHER GROUPS, REC DEPTS, NO COMPENSATION, NO INDIV ADVICE, 3 HRS/MO, NOT DURING TRADING HRS, NO CHECK-WRITING AUTH. 3) INDEPENDENT INSURANCE AGENT, Greendale, WI, 11/1992 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 3 HR/YR - 3/TRADING. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 150 HR/MO - 150 HR/MO TRADING. START DATE: 05/02/2011. 5) LAURA L. WILCOX, 4810 South 76th Street, #205, Greenfield WI 53220, United States, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 11/13/1992, INV REL, 1HR/MO, 1HR/MO TRADING 6) LAURA L. WILCOX, 4810 South 76th Street, #205, Greenfield WI 53220, United States, Educator/Speaker, PRO BONO COACHING AND EDUCATION, 3HR/MO 0/HR MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Laura Lee Wilcox'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: 1994
Experience
Current
May 2, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 4810 South 76th St. #205, Greendale, WI 53220RIA
CRD#: 134139
Greendale, WI
Current
May 2, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 4810 South 76th St. #205, Greendale, WI 53220BD
CRD#: 39543
Greendale, WI
Past
January 2, 2004 - May 9, 2011
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
HALES CORNERS, WI
Past
August 22, 2000 - May 9, 2011
SECURITIES AMERICA, INC.
BD
CRD#: 10205
GREENFIELD, WI
Past
July 21, 1987 - April 23, 1991
DREHER & ASSOCIATES, INC.
BD
CRD#: 8665
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
Florida(5/2/2011)
RR
Indiana(7/6/2015)
RR
Maryland(11/2/2023)
RR
Michigan(9/9/2016)
RR
Minnesota(11/2/2023)
RR
North Carolina(5/2/2011)
RR
Ohio(7/6/2015)
RR
Wisconsin(5/2/2011)
IAR
Wisconsin(5/2/2011)
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
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.
