TS
Thomas C. Simpson
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
York, ME 03909
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CRD#: 2431922
TS
Professional summary
Thomas Christopher Simpson is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in York, Maine and CAMBRIDGE INVESTMENT RESEARCH, INC. located in York, Maine.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.YORK MAINE ROTARY CLUB, 480 YORK ST., YORK, ME 03909. BEGAN 1/1/00 AS MEMBER, ATTENDS MEETINGS, PARTICIPATES IN CHARITABEL ACTIVITES FOR THIS NON-PROFIT. NOT INVESTMENT RELATED. DEVOTES 3 HRS/WK, NONE DURING TRADING. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 1/2010 AS ADVISORY REP OF A RIA. INV REL - 5 HR/WK - 0/TRADING 3.RENTAL OWNER, 61 POOL ST, BIDDEFORD, ME, 9/2016 - 4 UNIT APARTMENT BUILDING. NIR - 10/YR - 0/TRADING. 4.STREEM LLC, 20 KING ST, BIDDEFORD, ME, 3/2017 AS PART-OWNER IN RENTAL UNITS - APARTMENT BUILDING. NIR - 10/YR - 0/TRADING. 5.SIMPSON FINANCIAL STRATEGIES, 433 US Route 1 suite 110, York ME 03909, 11/21/2022, Owner, DBA Name , NIR, 160 HR/MO - 160 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Christopher Simpson'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
January 25, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 433 Us Route 1, Suite 110, York, ME 03909RIA
CRD#: 134139
York, ME
Current
January 25, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 433 Us Route 1 Suite 110, York, ME 03909BD
CRD#: 39543
York, ME
Past
July 22, 2009 - January 28, 2010
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
YORK, ME
Past
July 16, 2009 - January 28, 2010
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
YORK, ME
Past
May 7, 2009 - July 21, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
YORK, ME
Past
May 6, 2009 - July 21, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
YORK, ME
Past
March 10, 2006 - March 17, 2009
OSAIC FS, INC.
RIA
CRD#: 3870
PORTSMOUTH, NH
Past
May 11, 2005 - March 17, 2009
OSAIC FS, INC.
BD
CRD#: 3870
PORTSMOUTH, NH
Past
October 18, 2000 - April 22, 2005
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
May 11, 1999 - October 30, 2000
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
February 14, 1994 - April 16, 1999
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(7/8/2015)
RR
Idaho(7/2/2025)
RR
Maine(1/25/2010)
IAR
Maine(1/25/2010)
RR
Massachusetts(1/25/2010)
RR
New Hampshire(1/25/2010)
RR
Oregon(5/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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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#: 134139York, ME 03909TRUST BUT VERIFY
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