CL
Carmine J. Lacognata
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Clearwater, FL 33756
Some features on this profile are disabled
CRD#: 1889505
CL
Professional summary
Carmine J Lacognata, who also goes by Carmine Joseph Lacognata, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Clearwater, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Clearwater, Florida.
Carmine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Carmine has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carmine Joseph Lacognata
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) CLEARWATER FOR YOUTH, 1501 N Belcher Rd, Clearwater FL 33765, 03/2025, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2 HR/MO, 2 HR/MO TRADING. 2) ALLIANZ LIFE INSURANCE CO., PO Box 59060, Minneapolis MN 55459, 03/2025, Agent, 1099, NIR, 0 HR/MO, 0 HR/MO TRADING. 3) PETERSON INTERNATIONAL UNDERWRITERS, 23929 Valencia Boulevard, Second Floor, Valencia CA 91355, 03/2025, Agent, 1099, NIR, 0 HR/MO, 0 HR/MO TRADING. 4) UNIVERSAL FINANCIAL CONSULTANTS, 1499 Gulf to Bay Blvd, Suite 100, Clearwater FL 33755, 03/2025, Agent, Admin Services, INV REL, 1 HR/MO, 1 HR/MO TRADING. 5) TAG ADVISORS, 905 S. Fort Harrison, Clearwater FL 33756, United States, 04/17/2025, Wealth Advisor, DBA Name, INV REL, 80 HR/MO, 80 HR/MO TRADING. 6) BULL AND BEAR WEALTH MANAGEMENT PARTNERS, 905 S. Fort Harrison Ave., Clearwater FL 33756, United States, 04/17/2025, Wealth Advisor, DBA Name, INV REL, 80 HR/MO, 80 HR/MO TRADING. 7) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING 8) AMERICAN CANCER SOCIETY, Tampa FL 33609, 05/2025, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2 HR/MO, 2 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Carmine J Lacognata'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
April 1, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 905 S Ft Harrison Ave., Clearwater, FL 33756RIA
CRD#: 134139
Clearwater, FL
Current
April 4, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 905 S Ft Harrison Ave., Clearwater, FL 33756BD
CRD#: 39543
Clearwater, FL
Past
March 22, 2021 - March 28, 2025
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
CLEARWATER, FL
Past
March 16, 2021 - March 28, 2025
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
TAMPA, FL
Past
July 25, 2019 - February 5, 2021
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
TAMPA, FL
Past
February 18, 2019 - February 5, 2021
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
TAMPA, FL
Past
April 4, 2018 - May 30, 2018
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
CLEARWATER, FL
Past
November 1, 1989 - July 25, 2017
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
TAMPA, FL
Past
October 25, 1989 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
October 25, 1989 - July 25, 2017
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
TAMPA, FL
Past
February 15, 1989 - July 20, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
Past
February 15, 1989 - July 20, 1989
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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
Alabama(4/4/2025)
RR
California(4/4/2025)
IAR
Florida(4/1/2025)
RR
Florida(4/4/2025)
RR
New Jersey(4/4/2025)
RR
New York(4/4/2025)
RR
South Carolina(4/4/2025)
RR
Texas(4/4/2025)
IAR
Texas(4/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Clearwater, FL 33756TRUST BUT VERIFY
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