TQ
Thomas K. Queri
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Naples, NY
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CRD#: 2592769
TQ
Professional summary
Thomas K Queri, ChFC®, who also goes by Tom K Queri, Tom Kelly Queri, Tom Queri, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Naples, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Rochester, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom K Queri | Tom Kelly Queri | Tom Queri
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) JURS MONTGOMERY, 1175 PITTSFORD VICTOR RD STE 110 PITTSFORD NY, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 01/2020, NIR, 4 HR/MO 4 HR/TRADING 2) ITRUST, 100 MADISON ST SYRACUSE NY, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES,10/2014, NIR, 2 HR/MO 2 HR/MO TRADING 3) SOCIETY OF FINANCIAL SERVICES PROFESSIONALS- ROCHESTER CHAPTER, 38 OLD COUNTRY LANE FAIRPORT NY, BOARD MEMBER- SPONSORSHIPS, 01/2018, NIR, 2 HR/MO 2 HR/MO TRADING 4) MAKE-A-WISH OF WESTERN NY, 3025 MONROE AVE #200 ROCHESTER NY, VOLUNTEER ADVISORY BOARD MEMBER, 05/1997, NIR, 2 HR/MO 2 HR/MOTRADING 5) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 02/2021, AS ADVISORY REP OF A RIA. INV REL, 80 HR/MO 80 HR/MO TRADING 6) OMNE PLANNING AND WEALTH, 10 WINTHROP ST ROCHESTER NY 14607, FOUNDER, DBA, INV REL, 40 HR/MO 40 HR/MO TRADING 7) ITRUST ADVISORS LLC, 100 Madison Street, Syracuse NY 13202, 06/2025, Agent, Insurance/Benefits/Human Resources, NIR, 5 HR/MO, 5 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas K Queri'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
February 5, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 10 Winthrop St., Rochester, NY 14607RIA
CRD#: 134139
Naples, NY
Current
February 5, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 10 Winthrop St., Rochester, NY 14607BD
CRD#: 39543
Rochester, NY
Past
January 10, 2018 - February 8, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ROCHESTER, NY
Past
May 17, 2017 - February 8, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ROCHESTER, NY
Past
March 9, 2015 - April 27, 2017
NOVEM GROUP
RIA
CRD#: 158964
ROCHESTER, NY
Past
October 9, 2014 - May 15, 2017
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
October 2, 2014 - May 15, 2017
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
Pittsford, NY
Past
October 13, 2010 - October 6, 2014
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
ROCHESTER, NY
Past
March 7, 1995 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
March 7, 1995 - October 6, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ROCHESTER, NY
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
California(2/5/2021)
RR
Florida(2/5/2021)
RR
Illinois(10/28/2021)
RR
New Jersey(2/5/2021)
RR
New York(2/5/2021)
IAR
New York(2/5/2021)
RR
North Carolina(3/28/2023)
RR
South Carolina(1/2/2024)
RR
Utah(2/5/2021)
RR
Virginia(2/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
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.
