BC
Brian C. Cassidy
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
EAST WINDSOR, CT 06088
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CRD#: 3129153
BC
Professional summary
Brian Charles Cassidy is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in East Windsor, Connecticut and DUNCAN FINANCIAL PLANNING ADVISORS located in East Windsor, Connecticut.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 5 firms and has passed the Series 66, 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)CASSIDY FINANCIAL SERVICES, LLC -INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2)CASSIDY AND WELCH INVESTMENTS, LLC, 150 BURNHAM ST, SOUTH WINDSOR, CT 06074. BEGAN 10/1/07 AS PARTNER IN REAL ESTATE INVESTMENT- OWNING THE BUILDING WHERE A DAY CARE CENTER IS LOCATED, IN WHICH THE REP IS INVESTED. NOT INVESTMENT RELATED. DEVOTES 2 HR/YR- NONE DURING TRADING. 3)RISING STARS CHILD CARE, LLC, 150 BURNHAM ST., SOUTH WINDSOR, CT 06074. BEGAN 10/1/07 AS SILENT PARTNER IN CHILD CARE SERVICE CENTER. NOT INVESTMENT RELATED. 2 HR/YR- NONE DURING TRADING. 4)CASSIDY FINANCIAL GROUP, 1 PASCO DRIVE, EAST WINDSOR, CT 06088. BEGAN 9/1/11 AS PARTNER IN LLC WHICH OWNS THE BUILDING MY PRACTICE RUNS OUT OF, HOWEVER, RENEE WELCH IS THE DIRECTOR AND ACTIVE EMPLOYEE OF RISING STARS CHILD CARE AND CASSIDY AND WELCH INVESTMENTS AND HANDLES THE DAY TO DAY ACTIVITIES OF BOTH. NOT INVESTMENT RELATED. DEVOTES 2 HR/YR- NONE DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Charles Cassidy'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
May 1, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1 Pasco Dr, East Windsor, CT 06088RIA
CRD#: 134139
EAST WINDSOR, CT
Current
March 22, 2021 - Present
DUNCAN FINANCIAL PLANNING ADVISORS
Office #1: 1 Pasco Drive, East Windsor, CT 06088RIA
CRD#: 309454
East Windsor, CT
Current
May 1, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1 Mountain Rd Ste 201, Suffield, CT 06075BD
CRD#: 39543
Suffield, CT
Past
August 31, 2006 - May 7, 2012
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
EAST WINDSOR, CT
Past
August 15, 2006 - May 7, 2012
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EAST WINDSOR, CT
Past
April 1, 2006 - August 8, 2006
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
NEW YORK CITY, NY
Past
December 3, 1998 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
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(1/2/2014)
RR
Alaska(6/16/2014)
RR
Arizona(3/21/2023)
RR
California(6/22/2020)
RR
Colorado(9/15/2016)
RR
Connecticut(5/1/2012)
IAR
Connecticut(5/1/2012)
RR
Delaware(1/5/2017)
RR
District of Columbia(10/14/2014)
RR
Florida(5/1/2012)
RR
Georgia(1/13/2022)
RR
Hawaii(6/27/2023)
RR
Illinois(1/18/2017)
RR
Indiana(7/8/2013)
RR
Louisiana(3/21/2023)
RR
Maryland(4/2/2013)
RR
Massachusetts(5/1/2012)
RR
Montana(1/7/2021)
RR
New Hampshire(5/1/2012)
RR
New Jersey(1/2/2014)
RR
New York(5/1/2012)
RR
North Carolina(10/1/2013)
RR
Ohio(2/4/2021)
RR
Pennsylvania(5/1/2012)
RR
Rhode Island(5/1/2012)
RR
South Carolina(5/1/2012)
RR
South Dakota(4/16/2019)
RR
Tennessee(5/1/2012)
RR
Texas(6/22/2020)
IAR
Texas(6/22/2020)
RR
Vermont(4/29/2020)
RR
Washington(1/13/2022)
RR
Wisconsin(11/3/2025)
Exams
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
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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.
