Sean M. Bennett
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
SUMMERVILLE, SC 29483
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CRD#: 2357112
Professional summary
Sean Michael Bennett, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Summerville, South Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Summerville, South Carolina.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Sean has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 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) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 32.5/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2) ASSENT INTEGRATION CONULTANTS, 121 S CEDAR STREET SUMMERVILLER, SC, 05/1992. INV REL - OWNER/INDEPENDENT INSURANCE AGENT FOR CARIOUS INDEPENDENT INSURANCE COMPANIES. 5 HR/WK - 0/TRADING. 3) SPUR PROPERTIES, LLC 1404 PENINSULA POINTE SUMMERVILLE, SC 29485. BEGAN 08/13/2003 AS A MEMBER OWNING REAL ESTATE W/ 4 OTHER MEMBERS FOR PERSONAL USE. PROPERTY IS USED FOR TAILGATING AT COLLEGE FOOTBALL GAMES. NOT AVAILABLE FOR RENTALS. NO INCOME IS GENERATED FROM THIS PROPERTY. NOT INVESTMENT RELATED. DEVOTES 5 HRS/YR. NONE DURING TRADING. 4) STATE OF SOUTH CAROLINA, GRESSETTE BUILDING, COLUMBIA, SC 29202. BEGAN 11/12/2012 AS SENATOR. DEVOTES 44 HR/MO- 1 HR/TRADING. SERVE IN THE SOUTH CAROLINA GENERAL ASSEMBLY
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael Bennett'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: 2000
Experience
Current
August 19, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 121 South Cedar St, Summerville, SC 29483RIA
CRD#: 134139
SUMMERVILLE, SC
Current
August 18, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 121 South Cedar St, Summerville, SC 29483BD
CRD#: 39543
SUMMERVILLE, SC
Past
April 6, 2004 - September 1, 2011
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
SUMMERVILLE, SC
Past
March 11, 1996 - September 1, 2011
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
SUMMERVILLE, SC
Past
October 13, 1995 - March 13, 1996
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
May 1, 1995 - October 10, 1995
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
June 8, 1993 - January 14, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Florida(1/17/2023)
RR
Georgia(8/17/2021)
RR
Maryland(1/6/2012)
RR
Michigan(9/22/2015)
RR
Missouri(8/18/2011)
RR
Montana(1/17/2023)
RR
North Carolina(8/18/2021)
RR
South Carolina(8/18/2011)
IAR
South Carolina(8/19/2011)
RR
Tennessee(1/12/2023)
RR
Virginia(7/7/2020)
RR
Washington(8/18/2011)
Exams
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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Summerville, SC 29483TRUST BUT VERIFY
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