TL
Troy D. Lennox
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
BERLIN, MD 21811
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CRD#: 2126059
TL
Professional summary
Troy Dean Lennox, who also goes by Troy Lennox, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Berlin, Maryland and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Berlin, Maryland.
Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Troy has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 24, Series 23, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Troy Lennox
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 INSURNACE COMPANIES. 2)ROCKY MOUNTAIN INSURANCE NETWORK 9200 WEST CROSS DR. STE 600 LITTLETON, CO 80123. BEGAN 08/15/2011 AS INSURANCE AGENT FOR FIXED PRODUCTS. INVESTMENT RELATED. DEVOTES 2 HRS/MNTH. 2 HRS DURING TRADING. 3)COASTAL WEALTH MANAGEMENT, LLC, 10441 RACETRACK RD, BERLIN, MD 21811. BEGAN 10/2012 AS OWNER OF BUSINESS ENTITY USE FOR ALL ASPECTS OF FINANCIAL SERVICES. DEVOTES 50 HR/WK- 50 HR/TRADING. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 10/20/2009
CRS (Client Relationship Summary) - RIA
Click below to view Troy Dean Lennox'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
October 20, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 10441 Racetrack Rd Unit #1, Berlin, MD 21811RIA
CRD#: 134139
BERLIN, MD
Current
October 20, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 10441 Racetrack Rd Unit #1, Berlin, MD 21811BD
CRD#: 39543
Berlin, MD
Past
February 17, 2006 - October 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
OCEAN CITY, MD
Past
February 17, 2006 - October 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
OCEAN CITY, MD
Past
January 1, 2000 - February 22, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
OCEAN CITY, MD
Past
July 28, 1994 - February 22, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
OCEAN CITY, MD
Past
November 16, 1992 - August 10, 1994
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
GLEN ALLEN, VA
Past
May 27, 1992 - November 27, 1992
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
February 19, 1991 - February 18, 1992
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Alaska(9/23/2022)
RR
Arizona(9/7/2022)
RR
California(10/20/2009)
RR
Colorado(12/14/2009)
RR
Delaware(10/20/2009)
IAR
Delaware(11/14/2024)
RR
District of Columbia(4/21/2021)
RR
Florida(10/20/2009)
RR
Georgia(5/22/2012)
RR
Iowa(3/26/2025)
RR
Kentucky(2/17/2022)
RR
Maryland(10/20/2009)
IAR
Maryland(10/20/2009)
RR
Massachusetts(11/2/2022)
RR
Michigan(10/20/2016)
RR
Minnesota(5/2/2019)
RR
Nevada(2/2/2021)
RR
New Jersey(10/20/2009)
RR
New Mexico(10/20/2009)
RR
New York(4/25/2013)
RR
North Carolina(6/15/2011)
RR
Pennsylvania(10/20/2009)
RR
South Carolina(9/18/2020)
RR
Tennessee(11/2/2022)
RR
Texas(6/23/2023)
IAR
Texas(6/27/2023)
RR
Virginia(10/20/2009)
RR
Washington(3/15/2019)
RR
West Virginia(10/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
