GS
Gabriel J. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Columbia, SC
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CRD#: 2661965
GS
Professional summary
Gabriel Johanan Smith, who also goes by Gabe Smith, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Columbia, South Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Columbia, South Carolina.
Gabriel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Gabriel has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gabe 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) FINANCIAL EAGLE LLC, 220 Blanding Street, 104, Columbia SC 29201, United States, 7/2016, BRANCH MANAGER, DBA NAME, INV REL, 175 HR/MO, 120 HRS/MO TRADING. 2) INDEPENDENT INSURANCE AGENT, 1109 KNOX ABBOTT DR, CAYCE, SC, 5/2010 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 1 HR/MO, .25/MO TRADING. 3) VILLAGE OF HOPE COMMUNITY DEVELOPMENT ORPORATION, PO BOX 44, COLUMBIA, SC, 01/2007, FINANCE CHAIRMAN, NON-PROFIT, NIR, 1.5 HRS/MO, 0 HR/MO TRADING. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 05/17/2010, Director, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO, 24 HR/MO TRADING. 5) FINANCIAL EAGLE, 220 Blanding Street, 104, Columbia SC 29201, United States, 07/01/2016, Director, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 70 HRS/MO, 24 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Gabriel Johanan 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®
NoneExperience
Current
May 17, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Columbia, SC
Current
May 17, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Columbia, SC
Past
December 2, 2008 - June 8, 2010
EDWARD JONES
RIA
CRD#: 250
COLUMBIA, SC
Past
March 12, 2004 - June 8, 2010
EDWARD JONES
BD
CRD#: 250
COLUMBIA, SC
Past
September 28, 2000 - February 24, 2004
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
December 15, 1999 - October 24, 2000
D.E. FREY & COMPANY, INC.
BD
CRD#: 23595
DENVER, CO
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(10/19/2020)
RR
Arizona(7/20/2022)
RR
California(9/29/2020)
RR
Colorado(9/28/2020)
RR
Florida(1/28/2011)
RR
Georgia(5/17/2010)
RR
Louisiana(5/17/2010)
RR
Nevada(1/19/2022)
RR
New York(5/17/2010)
RR
North Carolina(5/17/2010)
RR
Ohio(9/25/2020)
RR
Pennsylvania(9/28/2020)
RR
South Carolina(5/17/2010)
IAR
South Carolina(5/17/2010)
RR
Tennessee(1/18/2022)
RR
Texas(5/17/2010)
IAR
Texas(1/5/2016)
Exams
State Security Law Exam
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
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.
