Tauber Lawrence Emmings | Financial Professional

Professional summary

Tauber Lawrence Emmings was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Tauber is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Tauber had worked at 7 firms, which includes CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., GUNNALLEN FINANCIAL INC, PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., LEHMAN BROTHERS INC., H.J. MEYERS & CO. INC..

Question & Answer

Are you a "fiduciary"?

No

Aliases

Toby Emmings

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 4, 2009 - January 27, 2014

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

ROCHESTER, NY

Past

February 4, 2008 - January 27, 2014

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

ROCHESTER, NY

Past

October 10, 2006 - February 8, 2008

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

ROCHESTER, NY

Past

November 21, 2003 - December 31, 2003

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

ROCHESTER, NY

Past

February 24, 2003 - February 8, 2008

GUNNALLEN FINANCIAL, INC

BD

CRD#: 17609

ROCHESTER, NY

Past

September 9, 1996 - February 25, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD

CRD#: 7471

NEW YORK, NY

Past

May 15, 1992 - September 6, 1996

MORGAN STANLEY DW INC.

BD

CRD#: 7556

PURCHASE, NY

Past

September 29, 1989 - July 24, 1991

LEHMAN BROTHERS INC.

BD

CRD#: 7506

NEW YORK, NY

Past

January 19, 1988 - October 5, 1989

H.J. MEYERS & CO., INC.

BD

CRD#: 15609

ROCHESTER, 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.

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/3/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 2/2/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 1/16/1988

General Securities Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

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	Cover Page	Report
04/29/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Tauber L. Emmings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

H.J. MEYERS & CO., INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/3/2003

Series 63

Date: 2/2/1988

Series 7

Date: 1/16/1988

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

TRUST BUT VERIFY

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