LS
Linda K. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
ATLANTA, GA
Some features on this profile are disabled
CRD#: 2049677
LS
Professional summary
Linda Kay Smith, who also goes by Linda K Hart, Linda Kay Hart, Linda Kay Hartmann, Linda Kay Hartmannrainey, Linda K Rainey, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Atlanta, Georgia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Atlanta, Georgia.
Linda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Linda has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Linda K Hart | Linda Kay Hart | Linda Kay Hartmann | Linda Kay Hartmannrainey | Linda K Rainey
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) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) 15 LENOX POINTE, LLC, ATLANTA, GA 30324. BEGAN 1/1/2014 AS LANDLORD. NOT INVESTMENT RELATED. DEVOTES 5 HOURS/MONTH, NONE DURING TRADING. 3)50 Lenox Pointe, Atlanta, GA 30324, Began 8/2016 as landlord, non-investment related. 5 hours/month, none during trading hours. 3) 1205 SUMMIT NORTH DRIVE LLC, ATLANTA, GA, 05/2019. LLC TO HOLD RENTAL PROPERTY. NIR-24/YR-0/TRADING. 4) One Source, LLC, 15 LENOX POINTE, STE A, ATLANTA, GA 30324 MEMBER, TO SHARE BUSINESS EXPENSES WITH ANOTHER ADVISOR,I.E. COPIER, PHONES,ETC. NIR,0/WK -0/TRADING 5) 1200 STILLWOOD DR, LLC, 1200 STILLWOOD DR, NE, ATLANTA, GA, LANDLORD, 06/01/20, NIR, 24/YR- 0/TRADING 6) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 09/09/2011
CRS (Client Relationship Summary) - RIA
Click below to view Linda Kay 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®
NoneExperience
Current
September 12, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
ATLANTA, GA
Current
September 9, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 15 Lenox Pointe Suite A, Atlanta, GA 30324BD
CRD#: 39543
Atlanta, GA
Past
September 6, 2007 - September 15, 2011
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
ATLANTA, GA
Past
January 12, 2007 - September 15, 2011
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
ATLANTA, GA
Past
April 3, 2000 - January 3, 2007
NEW ENGLAND SECURITIES
BD
CRD#: 615
ATLANTA, GA
Past
October 22, 1996 - March 31, 2000
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
May 1, 1990 - October 22, 1996
NEW ENGLAND SECURITIES
BD
CRD#: 615
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.
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(1/4/2016)
RR
Florida(4/5/2021)
RR
Georgia(9/9/2011)
IAR
Georgia(9/12/2011)
RR
Indiana(7/11/2018)
RR
Kansas(1/4/2021)
RR
Massachusetts(11/5/2025)
RR
Pennsylvania(9/21/2020)
RR
South Carolina(9/17/2020)
RR
Texas(1/4/2021)
IAR
Texas(1/4/2021)
Exams
State Security Law Exam
State Security Law 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
