GC
Gary M. Cowles
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Rockport, MA 01966
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CRD#: 2228339
GC
Professional summary
Gary Michael Cowles, ChFC®, CLU® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Rockport, Massachusetts and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Rockport, Massachusetts.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Gary has worked at 11 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 08/12/2019 2) THE COWLES GROUP OF NH LLC DBA THE COWLES GROUP, 124 Main St. Ste 2, Rockport MA 01966, 03/01/2014, Owner, Insurance/Benefits/Human Resources, NIR, 120 HR/MO - 120 HR/MO TRADING. 3) GLOUCESTER PIER CONDOMINIUMS HOA, 116 East Main St, Gloucester MA 01930, United States, 12/14/2024, Board Trustee, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 5HR/MO - 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Gary Michael Cowles'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®
Experience
Current
September 27, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 124 Main St. Ste. 2, Rockport, MA 01966RIA
CRD#: 134139
Rockport, MA
Current
August 12, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 124 Main St. Ste. 2, Rockport, MA 01966BD
CRD#: 39543
Rockport, MA
Past
August 12, 2019 - September 25, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Londonderry, NH
Past
May 18, 2018 - August 14, 2019
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
Londonderry, NH
Past
August 28, 2017 - May 18, 2018
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
Londonderry, NH
Past
October 2, 2014 - February 5, 2024
THE COWLES GROUP
RIA
CRD#: 171764
LONDONDERRY, NH
Past
March 5, 2014 - August 31, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
LONDONDERRY, NH
Past
February 28, 2014 - August 31, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
LONDONDERRY, NH
Past
September 10, 2012 - March 20, 2014
CAPFINANCIAL SECURITIES, LLC.
RIA
CRD#: 126291
WOBURN, MA
Past
August 28, 2012 - March 20, 2014
CAPFINANCIAL SECURITIES, LLC.
BD
CRD#: 126291
WOBURN, MA
Past
August 7, 2008 - October 26, 2012
LIGHTHOUSE CAPITAL, LLC
RIA
CRD#: 147497
WOBURN, MA
Past
December 21, 2005 - August 29, 2012
SOMERSET SECURITIES, INC.
BD
CRD#: 2493
WOBURN, MA
Past
January 1, 1999 - December 31, 2005
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
May 7, 1992 - February 24, 1993
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
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
Louisiana(8/12/2019)
RR
Maine(8/12/2019)
RR
Massachusetts(8/12/2019)
IAR
Massachusetts(9/27/2023)
RR
New Hampshire(8/12/2019)
RR
New York(8/12/2019)
RR
Rhode Island(1/11/2023)
RR
Wisconsin(8/28/2023)
Exams
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
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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.
