RP
Raymond J. Powell
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Prospect, CT 06712
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CRD#: 2288536
RP
Professional summary
Raymond Joseph Powell JR, who also goes by Raymond Joseph Powell, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Prospect, Connecticut and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Prospect, Connecticut.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Raymond has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Raymond Joseph Powell
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)POWELLS INCOME TAX SERVICES 42 WATERBURY ROAD, P.O. BOX 7077 PROSPECT, CT 06712. BEGAN 02/01/1992 AS TAX PREPARER, PREPPING INCOME TAXES. NOT INVESTMENT RELATED. DEVOTES 25 HRS/WK. 8 HRS DURING TRADING. 2)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-30/WK-25/TRADING. SEE EMPLOYMENT FOR START DATE. 3)RAYMOND J. POWELL 179 BURR HALL ROAD MIDDLEBURY, CT 06762. BEGAN 05/01/2009 AS REP, SELLING FIXED INSURANCE SALES, LIFE, LONG TERM CARE, DISABILITY, FIXED ANNUITY. INVESTMENT RELATED. DEVOTES 5 HRS/MNTH. NONE DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Joseph Powell JR'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, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 42 Waterbury Rd., Prospect, CT 06712RIA
CRD#: 134139
Prospect, CT
Current
October 28, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 42 Waterbury Rd, Prospect, CT 06712BD
CRD#: 39543
Prospect, CT
Past
October 5, 2005 - November 4, 2011
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
PROSPECT, CT
Past
October 5, 2005 - November 4, 2011
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
PROSPECT, CT
Past
August 1, 2003 - October 10, 2005
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
February 10, 1995 - September 25, 2019
POWELL'S FINANCIAL PLANNING SERVICE
RIA
CRD#: 125825
PROSPECT, CT
Past
November 10, 1993 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
November 25, 1992 - October 26, 1993
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
California(10/28/2011)
RR
Colorado(10/28/2011)
RR
Connecticut(10/28/2011)
IAR
Connecticut(9/12/2017)
RR
Delaware(5/2/2023)
RR
Florida(10/28/2011)
RR
Hawaii(10/28/2011)
RR
Massachusetts(10/28/2011)
RR
New Hampshire(8/14/2017)
RR
New Jersey(11/28/2011)
RR
New York(10/28/2011)
RR
North Carolina(10/28/2011)
RR
Rhode Island(10/28/2011)
RR
Virginia(3/7/2017)
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Prospect, CT 06712TRUST BUT VERIFY
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