CS
Christopher E. Smitherman
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
CINCINNATI, OH 45206
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CRD#: 2910221
CS
Professional summary
Christopher Edward Charles Smitherman is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Cincinnati, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Cincinnati, Ohio.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 4 firms and has passed the Series 63, SIE and Series 7 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) CHRISTOPHER SMITHERMAN, 791 E MCMILLAN AVE, SUITE 215, CINCINNATI, OH, 1/2004, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 20 HR/MO, 20 HR/MO TRADING. 2) MAC PROPERTIES, 791 E MCMILLAN AVE, STE 215 CINCINNATI OH, 10/2006, PARTNER, REAL ESTATE INVESTMENTS, INV REL, 1 HR/MO, 0 HR/MO TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 01/2005, ADVISORY REP OF A RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING. 4) THE OHIO CASINO CONTROL COMMISSION, 100 E BROAD STREET, 20TH FLOOR, COLUMBUS, OH, 02/2023, BOARD MEMBER, NIR, 8 HR/MO, 4 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Edward Charles Smitherman'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
March 28, 2005 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1703 Dale Rd, Cincinnati, OH 45206RIA
CRD#: 134139
CINCINNATI, OH
Current
January 4, 2005 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1703 Dale Rd, Cincinnati, OH 45237BD
CRD#: 39543
Cincinnati, OH
Past
January 7, 2005 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
CINCINNATI, OH
Past
January 1, 2000 - December 31, 2004
OSAIC FA, INC.
RIA
CRD#: 3978
CINCINNATI, OH
Past
September 16, 1997 - December 31, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
September 16, 1997 - December 31, 2004
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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(1/4/2005)
RR
Arkansas(1/17/2006)
RR
California(1/4/2005)
RR
Colorado(5/15/2007)
RR
Connecticut(1/4/2005)
RR
District of Columbia(5/7/2024)
RR
Florida(1/4/2005)
RR
Georgia(1/4/2005)
RR
Illinois(6/2/2006)
RR
Indiana(1/4/2005)
RR
Kansas(1/4/2005)
RR
Kentucky(1/4/2005)
RR
Maryland(1/4/2005)
RR
Michigan(1/4/2005)
RR
Minnesota(12/11/2014)
RR
Mississippi(1/4/2005)
RR
Missouri(1/4/2005)
RR
New Jersey(1/4/2005)
RR
New York(8/22/2016)
RR
North Carolina(7/27/2006)
RR
Ohio(1/4/2005)
IAR
Ohio(3/28/2005)
RR
Oklahoma(7/26/2022)
RR
Pennsylvania(9/26/2016)
RR
South Carolina(7/29/2019)
RR
Texas(1/20/2005)
IAR
Texas(3/28/2005)
RR
Utah(5/21/2007)
RR
Virginia(1/4/2005)
RR
Washington(12/12/2005)
RR
West Virginia(3/14/2005)
RR
Wisconsin(4/22/2013)
Exams
State Security Law 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#: 134139Cincinnati, OH 45206TRUST BUT VERIFY
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