Betty Jean Connors | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Betty Jean Connors was a registered financial professional .

Betty is a previously registered financial professional and started their career in finance in 1989. Betty had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

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) WALGREENS, 9050 W. UNION HILLS DR, Peoria AZ, 09/01/2019, Clerk, Retail Sales/Distribution, NIR, 25/HR MO, 0/HR MO Trading

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 21, 2022 - May 22, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Peoria, AZ

Past

March 4, 2022 - May 22, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

Glendale,, AZ

Past

February 3, 2021 - April 1, 2022

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

Peoria, AZ

Past

January 4, 2021 - April 1, 2022

FFEC WEALTH PARTNERS LLC

BD

CRD#: 16507

Peoria, AZ

Past

January 16, 2018 - January 5, 2021

MOORS & CABOT, INC.

RIA

CRD#: 594

PHOENIX, AZ

Past

January 16, 2018 - January 5, 2021

MOORS & CABOT, INC.

BD

CRD#: 594

PHOENIX, AZ

Past

April 11, 2014 - December 31, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SUN CITY, AZ

Past

March 13, 2009 - January 17, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

SUN CITY, AZ

Past

November 28, 2005 - March 5, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SUN CITY, AZ

Past

November 28, 2005 - March 5, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

SUN CITY, AZ

Past

August 29, 1996 - November 29, 2005

MORGAN STANLEY DW INC.

BD

CRD#: 7556

PURCHASE, NY

Past

July 31, 1993 - August 23, 1996

CITIGROUP GLOBAL MARKETS INC.

BD

CRD#: 7059

NEW YORK, NY

Past

June 20, 1989 - July 31, 1993

LEHMAN BROTHERS INC.

BD

CRD#: 7506

NEW YORK, 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

RR

IAR

Series 66

Date: 7/17/2006

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 7/28/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 6/17/1989

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

Betty J. Connors

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

MOORS & CABOT, INC.

MOORS & CABOT, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/17/2006

Series 63

Date: 7/28/1989

SIE

Date: 10/1/2018

Series 7

Date: 6/17/1989

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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