TB
Thomas L. Brandon
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
ATLANTA, GA 30326
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CRD#: 28883
TB
Professional summary
Thomas Lee Brandon, who also goes by Tom Brandon, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Atlanta, Georgia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Atlanta, Georgia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Thomas has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Brandon
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. AMERICAN RETIREMENT ADVISORS INC, 3500 LENOX RD STE 1500, ATLANTA, GA, 7/1971 AS PRESIDENT/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/MO - 0/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 12/09/2009 3. AMERICAN CONSULTING GROUP LLC, 3500 LENOX RD STE 1500, ATLANTA, GA, 7/2018 AS PRESIDENT & CEO PROVIDING BUSINESS CONSULTING SERVICES. NIR - 10/WK - 10/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Lee Brandon'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
November 18, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 3500 Lenox Rd Ste 1500, Atlanta, GA 30326RIA
CRD#: 134139
ATLANTA, GA
Current
November 9, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 3500 Lenox Rd Ste 1500, Atlanta, GA 30326BD
CRD#: 39543
Atlanta, GA
Past
January 2, 2009 - November 6, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
ATLANTA, GA
Past
February 11, 2004 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
ATLANTA, GA
Past
March 1, 2002 - November 6, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ATLANTA, GA
Past
June 28, 1994 - February 28, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
August 15, 1988 - May 23, 1994
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
September 14, 1987 - August 15, 1988
KAVANAUGH SECURITIES, INC.
BD
CRD#: 10606
Past
March 21, 1986 - October 2, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
December 3, 1984 - April 8, 1986
FRANKLIN REALTY SECURITIES CORP.
BD
CRD#: 12978
Past
September 15, 1980 - August 17, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
December 10, 1979 - October 9, 1980
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
Past
January 14, 1977 - February 6, 1979
PROVIDENT MARKETING CORPORATION
BD
CRD#: 7328
Past
January 27, 1976 - January 14, 1977
PLA SECURITIES CORPORATION
BD
CRD#: 666
Past
December 24, 1973 - February 28, 1977
SHENANDOAH EQUITY SERVICES, INCORPORATED
BD
CRD#: 4170
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(10/8/2014)
RR
Arizona(1/3/2022)
RR
California(1/3/2022)
RR
Colorado(2/24/2014)
RR
Florida(5/27/2015)
RR
Georgia(11/9/2009)
IAR
Georgia(11/18/2009)
RR
New York(1/2/2015)
RR
Texas(1/3/2022)
IAR
Texas(1/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/17/1973
Registered Representative ExaminationPrincipal/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.
