SC
Shannon S. Carter
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Henrico, VA 23238
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CRD#: 2142499
SC
Professional summary
Shannon Sayles Carter, CFP®, who also goes by Shannon Norma Sayles, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Henrico, Virginia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Henrico, Virginia.
Shannon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Shannon has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shannon Norma Sayles
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) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL, 20/WK 20/TRADING, 08/22/2014 2) SHANNON S CARTER. RICHMOND, VA. STRATEGY AND BUSINESS FINANCE CONSULTING. ANALYZES FINANCIAL AND OPERATING DATA PROVIDED BY THE BUSINESS AND RECOMMENDED ACTIONS THE COMPANY COULD IMPLEMENT IN REGARDS TO VARIOUS BUSINESS INITIATIVES AND OBJECTIVES. SPENDS 4-6 HR/ WK, 4 HR/WK DURING TRADING 3) SHANNON CARTER, 8912 ALENDALE RD, RICHMOND, VA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, WEALTH MANAGER, 01/2020, INV REL, 2/MO 0/TRADING 4) CARTER ADVISORY SERVICES LLC, 8912 ALENDALE ROAD RICHMOND VA 23229, 12/2016, OWNER, PASSTHROUGH ENTITY, NIR, 120 HR/MO 120 HR/MO TRADING 5) THE OWNERS CLUB AT THE HOMESTEAD HOMEOWNERS ASSOCIATION BOARD, PO Drawer T, 54 Mountain Laurel Drive, Hot Springs VA 24445, 04/2025, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2 HR/MO, 2 HR/MO TRADING. 6) SHANNON S CARTER, Richmond VA 23229, 05/2025, Divorce Planning Specialist, Expert Witness, NIR, 6 HR/MO, 6 HR/MO TRADING. 7) EQUITY CONCEPTS, 2550 Gaskins Road, Henrico VA 23238, United States, 10/01/2024, Independent Contractor (DBA), DBA Name, Investment Related, 100 HR/MO - 100 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Shannon Sayles Carter'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: 2014
Experience
Current
August 22, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2550 Gaskins Rd, Suite B, Henrico, VA 23238RIA
CRD#: 134139
Henrico, VA
Current
August 22, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2550 Gaskins Rd, Suite B, Henrico, VA 23238BD
CRD#: 39543
HENRICO, VA
Past
January 21, 2004 - September 18, 2012
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
RICHMOND, VA
Past
December 2, 2003 - September 18, 2012
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
RICHMOND, VA
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
Colorado(11/15/2016)
RR
Delaware(9/1/2021)
RR
Florida(11/15/2016)
RR
New York(6/11/2015)
RR
North Carolina(12/1/2016)
RR
Texas(3/7/2022)
IAR
Texas(3/7/2022)
RR
Virginia(8/22/2014)
IAR
Virginia(8/22/2014)
RR
Washington(9/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 134139Henrico, VA 23238TRUST BUT VERIFY
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