PC
Paul S. Como
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Ipswich, MA 01938
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CRD#: 2944437
PC
Professional summary
Paul Sullivan Como, who also goes by Paul S. Como, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Ipswich, Massachusetts and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Ipswich, Massachusetts.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Paul has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul S. Como
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. THE INSTITUTION FOR SAVINGS, 93 State St., PO BOX 510, Newburyport, MA , BOARD MEMBER OF A NON-PUBLIC ENTITY, CORPORATOR 2/12/11, NIR 3/Yr, 3/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 35/TRADING. 11/21/17 3. THE INSTITUTION FOR SAVINGS & IFS 1820 BANCORP, MHC / 93 State Street PO Box 510, Newburyport MA 01950 / NIR / CORPORATOR - ATTEND ANNUAL MEETING, VOTE ON CHANGES / 1 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Paul Sullivan Como'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 29, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 12 Market St., Ipswich, MA 01938RIA
CRD#: 134139
Ipswich, MA
Current
November 21, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 12 Market St., Ipswich, MA 01938BD
CRD#: 39543
Ipswich, MA
Past
April 13, 2018 - January 3, 2024
AXIOM ADVISORS, LLC
RIA
CRD#: 136305
Ipswich, MA
Past
October 5, 2007 - December 7, 2017
OSAIC FS, INC.
RIA
CRD#: 3870
BRADFORD, MA
Past
October 1, 2007 - December 7, 2017
OSAIC FS, INC.
BD
CRD#: 3870
BRADFORD, MA
Past
April 24, 2006 - October 2, 2007
SIGNATOR FINANCIAL SERVICES, INC.
RIA
CRD#: 19061
IPSWICH, MA
Past
April 21, 2006 - October 2, 2007
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
IPSWICH, MA
Past
July 7, 2005 - May 8, 2006
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
IPSWICH, MA
Past
July 14, 2004 - May 8, 2006
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
April 21, 2003 - July 8, 2004
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
August 25, 1998 - April 23, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
October 1, 1997 - August 19, 1998
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
California(11/21/2017)
RR
Connecticut(10/10/2025)
RR
Delaware(11/21/2017)
RR
Florida(11/21/2017)
RR
Georgia(8/14/2025)
RR
Louisiana(11/21/2017)
RR
Maine(11/21/2017)
RR
Massachusetts(11/21/2017)
IAR
Massachusetts(11/29/2017)
RR
New Hampshire(11/21/2017)
RR
New Mexico(5/28/2021)
RR
North Carolina(12/6/2022)
RR
Oklahoma(1/23/2023)
RR
Oregon(2/18/2021)
RR
South Carolina(7/6/2023)
RR
Virginia(11/19/2024)
RR
Washington(1/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 9/23/2010
Corporate Securities Limited Representative ExaminationGeneral 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
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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.
