Brian B. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Huntsville, TX
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CRD#: 1789316
Professional summary
Brian Bennett Smith, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Huntsville, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Huntsville, Texas.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Brian has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 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.UNIVERSITY HEIGHTS BAPTIST CHURCH, 2400 SYCAMORE AVE, HUNTSVILLE, TX, 1/2012 AS FINANCE COMMITTEE MEMBER. NIR - 3/MO - 0/TRADING. 2.GLOBAL FINANCIAL PARTNERS, 1211 FINANCIAL PLZ, HUNTSVILLE, TX, 4/1986 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/WK - 6/TRADING. 3.RENTAL PROPERTY OWNER, HUNTSVILLE, TX, 2/2003. NIR - 2/WK - 0/TRADING. 4.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 5.BRIAN AND LINDA SMITH, 293 FM 1791, Ste 1, Huntsville TX 77340, United States, 08/01/2022, Owner, Referrels, NIR, 3 HR/MO - 0 HR/MO TRADING 6.DIAMOND S LEGACY HOLDINGS, LLC, 293 FM 1791, Ste 1, Huntsville TX 77340, United States, 11/02/2018, Owner, Agriculture, NIR, 25 HR/MO - 0 HR/MO TRADING 7. GLOBAL FINANCIAL PARTNERS, 1211 Financial Plaza, Huntsville TX 77340, United States, 04/13/2017, IAR, DBA Name, INV REL, 160 HR/MO - 120 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Brian Bennett 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®
CFP®
Start date: 1997
Experience
Current
April 13, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 1211 Financial Plaza, Huntsville, TX 77340RIA
CRD#: 134139
Huntsville, TX
Current
April 13, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1211 Financial Plaza, Huntsville, TX 77340BD
CRD#: 39543
Huntsville, TX
Past
April 17, 2002 - April 13, 2017
SPC
RIA
CRD#: 110692
HUNTSVILLE, TX
Past
February 11, 2002 - March 2, 2002
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
February 9, 2002 - April 13, 2017
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
HUNTSVILLE, TX
Past
August 27, 1997 - February 9, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
March 16, 1988 - August 26, 1997
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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
Arizona(1/4/2021)
RR
California(12/6/2022)
RR
Florida(1/4/2021)
RR
Michigan(4/13/2017)
RR
Mississippi(6/15/2017)
RR
New Mexico(4/13/2017)
RR
Oklahoma(4/13/2017)
RR
South Carolina(1/7/2021)
RR
Texas(4/13/2017)
IAR
Texas(4/13/2017)
RR
Vermont(9/19/2024)
RR
Virginia(2/7/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General 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.
