PS
Patricia L. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Greenville, SC 29601
Some features on this profile are disabled
CRD#: 2444251
PS
Professional summary
Patricia L Smith, AIF®, who also goes by Patricia Lynn Smith, Tricia Smith, Trish Smith, Tricia Smith, Trish Smith, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Greenville, South Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Greenville, South Carolina.
Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Patricia has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patricia Lynn Smith | Tricia Smith | Trish Smith | Tricia Smith | Trish Smith
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, 5/2016 AS ADVISORY REP OF A RIA. INV REL - 40 HR/WK - MINIMAL/TRADING. 2.MUNCASTER FINANCIAL SERVICES, 502 Green Ave, Greenville SC 29601, United States, 10/05/2015W2 Employee, Administrative, INV REL, 160HRS/MO, 160HRS/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Patricia L Smith'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
May 9, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 502 Green Ave., Greenville, SC 29601RIA
CRD#: 134139
Greenville, SC
Current
May 9, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 502 Green Ave., Greenville, SC 29601BD
CRD#: 39543
Greenville, SC
Past
April 18, 2016 - May 10, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
GREENVILLE, SC
Past
January 19, 2016 - May 10, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
GREENVILLE, SC
Past
March 13, 2015 - December 1, 2015
TRIAD ADVISORS LLC
BD
CRD#: 25803
Greenville, SC
Past
February 20, 2015 - April 9, 2015
TRIAD ADVISORS LLC
RIA
CRD#: 25803
Greenville, SC
Past
May 3, 2012 - February 27, 2013
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
GREENVILLE, SC
Past
May 2, 2012 - February 27, 2013
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
GREENVILLE, SC
Past
April 13, 2009 - May 31, 2012
FINTRUST INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 139887
GREENVILLE, SC
Past
February 2, 2009 - May 31, 2012
FINTRUST BROKERAGE SERVICES, LLC
BD
CRD#: 41608
GREENVILLE, SC
Past
April 26, 2007 - April 7, 2009
GNI CAPITAL, LLC
RIA
CRD#: 114802
GREENVILLE, SC
Past
September 5, 2006 - May 7, 2007
AMERICAN SECURITIES GROUP, INC.
RIA
CRD#: 43730
GREENVILLE, SC
Past
May 1, 2006 - January 26, 2009
AMERICAN SECURITIES GROUP, INC.
BD
CRD#: 43730
GREENVILLE, SC
Past
May 31, 2002 - April 25, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 2, 2002 - June 11, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
June 10, 1996 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
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
South Carolina(5/9/2016)
IAR
South Carolina(5/9/2016)
Exams
State Security Law Exam
State Security Law 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 134139Greenville, SC 29601TRUST BUT VERIFY
Monitor Patricia Smith
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
