RC
Robert A. Caldwell
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
JACKSON, TN 38305
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CRD#: 2730650
RC
Professional summary
Robert Addison Caldwell is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Jackson, Tennessee and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Jackson, Tennessee.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) ROBERT A. CALDWELL, CPA / 2802-A NORTH HIGHLAND AVE, JACKSON TN 38305 / 05/01/1983 / NIR / CPA PRACTICE / 80 HR/MO - 80 HR/MO TRADING 2) INSURANCE / 2802-A NORTH HIGHLAND AVE, JACKSON TN 38305 / 01/01/1990 / INV REL / INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES / 8 HR/MO - 4 HR/MO TRADING 3) FAMILY MEDIATOR / 2802-A NORTH HIGHLAND AVE, JACKSON TN 38305 / 01/24/2012 / NIR / LICENSED WITH TENNESSEE SUPREME COURT ALT DISPUTE RESOLUTION COMMISSION / 0 HR/MO - 0 HR/MO TRADING 4) CALDWELL CAPITAL MANAGEMENT, LLC / 2802-A NORTH HIGHLAND AVE, JACKSON TN 38305 / 06/15/2020 / NIR / OWNER - RENTAL PROPERTY / 4 HR/MO - 0 HR/MO TRADING 5) REV. ROBERT A. CALDWELL / 32 Oakmont Place, Jackson TN 38305 / 01/20/2022 / NIR / PASTOR / 20 HR/MO - 0 HR/MO TRADING 6) STONEBRIDGE INVESTMENT ADVISORS, LLC / 2802 North Highland Ave., Suite B, JACKSON TN 38305 / 09/08/2023 / INV REL / IAR - TRANSISTION RIA / 80 HR/MO - 70 HR/MO TRADING 7) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 10/2022, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING 8) PASTOR, 3259 Hwy. 70 East, Jackson TN 38305, United States, 07/01/2024, Pastor, NIR, 20/MO - 0/Trading
CRS (Client Relationship Summary) - RIA
Click below to view Robert Addison Caldwell'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
October 11, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2802 North Highland Ave. Suite A, Jackson, TN 38305RIA
CRD#: 134139
JACKSON, TN
Current
October 7, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2802 North Highland Ave. Ste. A, Jackson, TN 38305BD
CRD#: 39543
Jackson, TN
Past
August 31, 2020 - March 31, 2023
STONEBRIDGE INVESTMENT ADVISORS, LLC
RIA
CRD#: 309119
JACKSON, TN
Past
August 16, 2005 - June 30, 2021
DOMINION PORTFOLIO MANAGEMENT, INC.
RIA
CRD#: 106918
JACKSON, TN
Past
October 2, 2000 - October 7, 2022
DOMINION INVESTOR SERVICES, INC.
BD
CRD#: 21548
JACKSON, TN
Past
July 26, 1996 - October 13, 2000
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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
Kentucky(1/9/2024)
RR
Mississippi(10/7/2022)
RR
Missouri(1/3/2024)
RR
Tennessee(10/7/2022)
IAR
Tennessee(10/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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
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
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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#: 134139Jackson, TN 38305TRUST BUT VERIFY
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