HB
Harry E. Beatty
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Garden City, NY 11530
Some features on this profile are disabled
CRD#: 2813938
HB
Professional summary
Harry Edward Beatty is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Garden City, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Garden City, New York.
Harry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Harry has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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. DB ADVISOR GROUP, 825 E GATE BLVD STE 103, GARDEN CITY, NY, 9/2014 AS VICE PRESIDENT OF SCORP TO PROVIDE TAX AND LEGAL LIABILITY. NIR - 1/WK - 1/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 3. NETTWORTH FINANCIAL GROUP, 825 E Gate Blvd, Garden City NY 11530, 11/2014, Investment Advisor Representative, Marketing, NIR, 10 HR/MO, 5 HR/MO TRADING. 4. INDEPENDENT INSURANCE AGENT, 825 E Gate Blvd, Garden City NY 11530, 11/2025, Agent, Insurance/Benefits/Human Resources, NIR, 5 HR/MO, 5 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Harry Edward Beatty'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 4, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 825 East Gate Blvd Ste 103, Garden City, NY 11530RIA
CRD#: 134139
Garden City, NY
Current
October 4, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 825 East Gate Blvd. Ste 103, Garden City, NY 11530BD
CRD#: 39543
Garden City, NY
Past
September 22, 2014 - October 11, 2019
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
GARDEN CITY, NY
Past
August 26, 2014 - October 11, 2019
FSC SECURITIES CORPORATION
BD
CRD#: 7461
GARDEN CITY, NY
Past
June 2, 2011 - August 27, 2014
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
FARMINGDALE, NY
Past
August 12, 2005 - December 31, 2006
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
FARMINGDALE, NY
Past
August 5, 2005 - August 27, 2014
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
FARMINGDALE, NY
Past
April 25, 2003 - August 8, 2005
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
September 7, 2000 - April 28, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
April 20, 1998 - September 20, 2000
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
July 30, 1997 - April 27, 1998
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
SYOSSET, NY
Past
March 14, 1997 - July 3, 1997
GLOBAL CAPITAL MARKETS, LLC
BD
CRD#: 16191
MELVILLE, NY
Past
February 24, 1997 - March 14, 1997
H G I
BD
CRD#: 14079
JERICHO, 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
Alabama(8/19/2024)
RR
Connecticut(3/9/2022)
RR
Delaware(8/20/2020)
RR
Florida(10/4/2019)
RR
Georgia(6/7/2022)
RR
Maryland(10/4/2019)
RR
Massachusetts(3/1/2022)
RR
Missouri(3/26/2025)
RR
Nevada(10/4/2019)
RR
New Jersey(10/4/2019)
RR
New York(10/4/2019)
IAR
New York(4/9/2021)
RR
North Carolina(10/11/2019)
RR
Ohio(1/2/2020)
RR
Pennsylvania(1/12/2021)
RR
South Carolina(10/4/2019)
RR
Tennessee(8/20/2021)
RR
Virginia(10/4/2019)
RR
Washington(8/20/2020)
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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
