Louis James Macloskey, CFP | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Louis James Macloskey, CFP®, who also goes by Lou Macloskey, was a registered financial professional .

Louis is a previously registered financial professional and started their career in finance in 1970. Louis had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 1, Series 24, Series 26 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Lou Macloskey

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/YR - 0/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2.FINANCIAL PLANNING INVESTMENT GROUP INC, 1615 FORUM PL #1A, WEST PALM BEACH, FL, 8/1992 AS INDEPENDENT INSURANCE AGENT VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/MO - 10/TRADING. 3.ASSET PLANNING CORPORATION, 1615 FORUM PL #1A, WEST PALM BEACH, FL, 8/1992 AS FOUNDER/ADVISORY REP OF A RIA. INV REL - 10/MO - 10/TRADING.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Past

January 27, 2012 - May 16, 2025

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

WEST PALM BEACH, FL

Past

June 29, 2007 - May 16, 2025

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

WEST PALM BEACH, FL

Past

October 19, 1992 - December 31, 1992

LINCOLN INVESTMENT

BD

CRD#: 519

FORT WASHINGTON, PA

Past

June 29, 1989 - June 29, 2007

MUTUAL SERVICE CORPORATION

BD

CRD#: 4806

WEST PALM BEACH, FL

Past

July 17, 1986 - October 12, 1987

EASTER KRAMER GROUP SECURITIES, INC.

BD

CRD#: 15318

Past

June 17, 1985 - December 31, 2024

ASSET PLANNING CORPORATION

RIA

CRD#: 126242

WEST PALM BEACH, FL

Past

August 3, 1981 - October 19, 1989

FINANCIAL PLANNERS OF THE PALM BEACHES SECURITIES, INC.

BD

CRD#: 10059

Past

February 14, 1980 - September 1, 1981

MAIN STREET MANAGEMENT COMPANY

BD

CRD#: 547

Past

August 19, 1970 - February 7, 1980

GREEN HILL FINANCIAL SERVICE CORPORATION

BD

CRD#: 4882

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.

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/23/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 10/28/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

RR

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 1

Date: 8/14/1970

Registered Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 9/2/1982

General Securities Principal Examination

Principal/Supervisory Exam

RR

Series 26

Date: 5/5/1981

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

RR

Series 39

Date: 3/2/1981

Direct Participation Programs Principal Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

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	Cover Page	Report
04/29/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Louis J. Macloskey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

LINCOLN INVESTMENT

MUTUAL SERVICE CORPORATION

EASTER KRAMER GROUP SECURITIES, INC.

ASSET PLANNING CORPORATION

FINANCIAL PLANNERS OF THE PALM BEACHES SECURITIES, INC.

MAIN STREET MANAGEMENT COMPANY

GREEN HILL FINANCIAL SERVICE CORPORATION

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/1996

Series 63

Date: 10/28/1991

Series 7TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 8/14/1970

Series 24

Date: 9/2/1982

Series 26

Date: 5/5/1981

Series 39

Date: 3/2/1981

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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