AW
Anthony C. Willoughby
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Dothan, AL 36301
Some features on this profile are disabled
CRD#: 2636038
AW
Professional summary
Anthony C Willoughby, who also goes by Anthony Clark Willoughby, Tony Willoughby, Anthony Willoughby, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Dothan, Alabama and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Dothan, Alabama.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Anthony has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony Clark Willoughby | Tony Willoughby | Anthony Willoughby
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. ALABAMA FEDERAL TAX CLINIC, TUSCALOOSA, AL, 01/2014. LOCATE AND SECURE SPEAKERS FOR TAX SEMINAR. NIR-10/YR-10/TRADING. 2. AMERICAN INSTITUTE ON FEDERAL TAXATION, 3815 INTERSTATE COURT, MONTGOMERY, AL, 09/2018. BOARD MEMBER, SECURE SPEAKERS FOR TAX SEMINAR. NIR-10/YR-10/TRADING. 3. AIRMED MEMBERSHIP SALES, WARRIOR, AL, 08/2013. NIR-5/MO-5/TRADING. 4. ATTORNEY, 1130 22ND ST S RIDGE PARK STE 4000, BIRMINGHAM, AL, 04/2013. MINORITY SHAREHOLDER. NIR-25/WK-20/TRADING. 5. TODD FINANCIAL SERVICES LLC DBA TONY WILLOUGHBY, 203 JAMESTOWN BLVD STE 1, DOTHAN, AL, 01/2014. CONSULTANT, FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL-50/MO-50/TRADING. 6. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 7. ADVISORY SOUTH, 203 JAMESTOWN BLVD, STE1, DOTHAM, AL, 01/11/14, INV REL, CONSULTANT, 50/MO- 50/TRADING 8. DOMINICK FELD HYDE, P.C., 1130 22nd street south, Ridge Park, Suite 4000, Ridge Park, Suite 4000, birmingham AL 35205, United States, 11/15/2021, signatory on the firm operating account and trust account, Administrative, NIR, 1 HR/MO - 1 HR/MO TRADING 9. ADVISORY SOUTH, 203 Jamestown Blvd., Ste 1, Dothan AL 36301, 08/2019, Investment Advisor Representative, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING. 10. ST. HENRY'S CATHOLIC CHURCH OF THE DIOCESE OF BIRMINGHAM, ALABAMA, 334 Main Street, Gardendale AL 35071, 08/2025, Committee Member, Volunteer, NIR, 2 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony C Willoughby'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
August 14, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 203 Jamestowne Blvd. Ste 1, Dothan, AL 36301RIA
CRD#: 134139
Dothan, AL
Current
August 13, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 203 Jamestown Blvd. Ste 1, Dothan, AL 36301BD
CRD#: 39543
Dothan, AL
Past
August 13, 2019 - August 13, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
FAIRFIELD, IA
Past
May 25, 2016 - August 14, 2019
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
DOTHAN, AL
Past
February 4, 2014 - May 25, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
DOTHAN, AL
Past
January 24, 2014 - August 14, 2019
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
DOTHAN, AL
Past
February 15, 2013 - December 23, 2013
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
HOOVER, AL
Past
October 29, 2012 - December 23, 2013
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
HOOVER, AL
Past
April 5, 2010 - January 14, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
BIRMINGHAM, AL
Past
March 22, 2010 - January 14, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
BIRMINGHAM, AL
Past
April 8, 2008 - December 31, 2008
SEBCOR, INC.
RIA
CRD#: 142664
BIRMINGHAM, AL
Past
December 16, 1999 - April 1, 2008
TRANSAMERICA FINANCIAL ADVISORS, INC.
RIA
CRD#: 3600
BIRMINGHAM, AL
Past
September 24, 1999 - April 1, 2008
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
BIRMINGHAM, AL
Past
January 4, 1999 - September 9, 1999
TRIAD ADVISORS LLC
BD
CRD#: 25803
ATLANTA, GA
Past
January 31, 1997 - January 12, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
January 12, 1996 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
September 29, 1995 - February 2, 1996
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
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
Alabama(8/14/2019)
IAR
Alabama(8/14/2019)
RR
Arizona(11/14/2024)
RR
Georgia(8/13/2019)
RR
Maryland(8/14/2023)
RR
Mississippi(11/8/2019)
RR
Virginia(8/29/2024)
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
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#: 134139Dothan, AL 36301TRUST BUT VERIFY
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