TH
Thomas W. Hofbauer
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
BRYAN, OH 43506
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CRD#: 2348811
TH
Professional summary
Thomas William Hofbauer is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Bryan, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Bryan, Ohio.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 4, Series 53 and Series 24 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)HPH FINANCIAL CORP - SHAREHOLDER - 2007 - 40HRS A MONTH - FINANCIAL PLANNING & ADVISORY SERVICES - COMP: COMMISSION & FEE FROM NRP. 2)TRILOGY WEALTH ADVISORS, 516 E HIGH ST, BRYAN, OH, 1/2007 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/WK - 2/TRADING. 3)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4)TRILOGY WEALTH ADVISORS, 516 E High Street, Bryan OH 43506, United States, 10/29/2010, W2 Employee, Using a Trade Name / DBA, INV REL, 170HR/MO - 130HR/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas William Hofbauer'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
November 5, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 516 E High St, Bryan, OH 43506RIA
CRD#: 134139
BRYAN, OH
Current
October 29, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 516 E High St, Bryan, OH 43506BD
CRD#: 39543
Bryan, OH
Past
March 6, 2008 - November 2, 2010
NRP ADVISORS, INC.
RIA
CRD#: 141430
BRYAN, OH
Past
January 14, 2003 - October 20, 2008
NRP FINANCIAL, INC.
RIA
CRD#: 103717
BRYAN, OH
Past
March 24, 2000 - November 2, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
BRYAN, OH
Past
March 24, 1997 - March 24, 2000
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
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(6/22/2018)
RR
Arizona(5/1/2018)
RR
California(10/29/2010)
RR
Colorado(10/29/2010)
RR
Florida(10/29/2010)
RR
Georgia(10/29/2010)
RR
Illinois(11/12/2010)
RR
Indiana(11/3/2010)
RR
Iowa(3/2/2021)
RR
Kentucky(10/29/2010)
RR
Louisiana(4/28/2025)
RR
Michigan(2/8/2021)
RR
Missouri(3/25/2021)
RR
Nevada(5/29/2019)
RR
New Jersey(10/19/2016)
RR
New York(10/29/2010)
RR
North Carolina(10/29/2010)
RR
Ohio(10/29/2010)
IAR
Ohio(11/5/2010)
RR
Pennsylvania(10/29/2010)
RR
South Carolina(5/5/2014)
RR
South Dakota(6/11/2018)
RR
Utah(8/10/2022)
RR
Virginia(1/18/2012)
RR
Wisconsin(4/26/2018)
RR
Wyoming(5/2/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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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.
