GP
Gloria A. Potts
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Charlotte, NC
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CRD#: 2983921
GP
Professional summary
Gloria Arsonia Potts is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Charlotte, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Charlotte, North Carolina.
Gloria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Gloria has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 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.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 10 HR/WK - 2/TRADING. 01/01/15. 2)GLORIA POTTS, Independent insurance agent, 4400 LAUREL TWIG CT, CHARLOTTE,NC, 1/01/2015 for various independent insurance companies. 8 HR/WK - 1/TRADING. 3.BLP MINISTRIES, 2033 ARBOR HILLS DR, INDIAN HILLS, NC, 11/2017 AS BOARD MEMBER. NIR - 4/MO - 0/TRADING. 4.GLORIA A POTTS, 4400 LAUREL TWIG CT, RENTAL PROPERTY OWNER, CHARLOTTE, NC, 11/2017. NIR - 1/MO - 0/TRADING. 5.ORDAINED MINISTER (GA POTTS MINISTRY), CHARLOTTE, NC, 11/2017 CONDUCTING OCCASIONAL WEDDING OR FUNERAL. NIR - 10/YR - 0/TRADING. 6.TRUEWAY FINANCIAL LLC, 301 MCCULLOUGH DR 4TH FLOOR, CHARLOTTE, NC, AS MANAGING MEMBER/FINANCIAL PROFESSIONAL UTILIZING DBA NAME, INVREL, 30HRS/WK, 25HRS/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Gloria Arsonia Potts'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
January 2, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 301 Mccullough Drive 4th Floor, Charlotte, NC 28262RIA
CRD#: 134139
Charlotte, NC
Current
January 2, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 301 Mccullough Drive 4th Floor, Charlotte, NC 28262BD
CRD#: 39543
Charlotte, NC
Past
May 16, 2011 - December 31, 2014
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
CHARLOTTE, NC
Past
August 4, 2009 - May 16, 2011
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
July 10, 2009 - December 31, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
CHARLOTTE, NC
Past
March 18, 2004 - January 7, 2009
WADDELL & REED
RIA
CRD#: 866
CHARLOTTE, NC
Past
March 3, 2004 - January 7, 2009
WADDELL & REED
BD
CRD#: 866
CHARLOTTE, NC
Past
January 12, 2004 - March 4, 2004
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
March 5, 1998 - August 27, 1998
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Arizona(12/21/2017)
RR
Georgia(1/2/2015)
RR
Maryland(4/20/2021)
RR
Missouri(1/2/2024)
RR
North Carolina(1/2/2015)
IAR
North Carolina(1/2/2015)
RR
South Carolina(1/2/2015)
Exams
State Security Law Exam
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.
