AC
Amy L. Cavanaugh
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Clinton, IA 52732
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CRD#: 2475977
AC
Professional summary
Amy Lynn Cavanaugh, ChFC®, who also goes by Amy L Giesler, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Clinton, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Clinton, Iowa.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Amy has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy L Giesler
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) 10/16/2009, OTHER, NOTARY PUBLIC, NOTARY PUBLIC FOR USE IN THE OFFICE ONLY 2) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3) CIRA,1776 PLEASANT PLAIN RD. FAIRFIELD, IA 52556. INVESTMENT ADVISORY REPRESENTATIVE. 03/01/11. INV REL. DEVOTES 40 HRS/WK. 6 HRS/TRADING. REGISTERED INVESTMENT ADVISER THAT MANAGES CLIENT ASSETS FOR A FEE. 4) BREEZY POINT COOPERATION BREEZY POINT RD CLINTON IA, 11/2011, PRESIDENT, NIR. DEVOTES 1 HR/MO 0 HR/MO TRADING, NON-PROFIT ORGANIZATION. 5) PAUL B SHARAR FOUNDATION AT CLITON COMMUNITY COLLEGE 1000 LINCOLN BLVD CLINTON, IA 52732. BEGAN 6/19/12 AS BOARD MEMBER PROMOTING CLINTON COMMUNITY COLLEGE THROUGH AWARENESS OF ENROLLMENT AND PROGRAMS AND SUPORT BOARD OF DIRECTORS SCHOLARSHIPS AND SERVE A 3 YEAR TERM. NOT INVESTMENT RELATED. DEVOTES 1 R/MNTH. 1 HR DURING TRADING. NON-PROFIT ORGANIZAITON. 6) OFFICE OF THE IOWA SECRETARY OF STATE, LUCAS BUILDING, DES MOINES IA, 03/2011, NOTARY PUBLIC, 1 HR/MO 0 HR/MO TRADING 7) HSA BANK, 605 N 8TH ST SUITE 320 SHEBOTYGAN WI, 10/2017. FINANCIAL ADVISOR. INV REL, 2 HR/MO 0 HR/MO TRADING 8) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING, 03/2011 9) FINRA, 16573 CHESTNUT COURT FULTON IL, 03/2024, NON-PUBLIC ARBITRATOR, CONTRACTOR, NIR, 15 HR/MO 8 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Amy Lynn Cavanaugh'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
March 1, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 880 13th Ave N., Clinton, IA 52732Office #2: 5465 Utica Ridge Road, Davenport, IA 52807RIA
CRD#: 134139
Clinton, IA
Current
March 1, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 880 13th Ave N, Clinton, IA 52732Office #2: 5465 Utica Ridge Road, Davenport, IA 52807BD
CRD#: 39543
Clinton, IA
Past
March 25, 2003 - March 14, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
CLINTON, IA
Past
March 25, 2003 - March 14, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
CLINTON, IA
Past
November 6, 2001 - March 24, 2003
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
WEST DES MOINES, IA
Past
September 20, 1999 - March 20, 2003
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
WEST DES MOINES, IA
Past
February 17, 1999 - July 12, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 17, 1999 - July 12, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(4/19/2013)
RR
Georgia(1/11/2024)
RR
Illinois(3/1/2011)
IAR
Illinois(12/6/2021)
RR
Iowa(3/1/2011)
IAR
Iowa(3/1/2011)
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
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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#: 134139Clinton, IA 52732TRUST BUT VERIFY
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