Lynn Dale Cawthorne | Financial Professional

Professional summary

Lynn Dale Cawthorne was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lynn is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Lynn had worked at 5 firms, which includes CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., INVESTMENT PROFESSIONALS INC., EQUITABLE ADVISORS LLC, UBS FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

No

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.

The advisor shows no other business activity.

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®

None

Experience

Past

April 16, 2013 - September 24, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

SHREVEPORT, LA

Past

April 16, 2013 - September 24, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

SHREVEPORT, LA

Past

August 16, 2010 - March 15, 2013

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

SHREVEPORT, LA

Past

August 16, 2010 - March 15, 2013

INVESTMENT PROFESSIONALS, INC.

BD

CRD#: 30184

SHREVEPORT, LA

Past

August 21, 2002 - July 1, 2010

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

NEW ORLEANS, LA

Past

May 4, 2001 - July 1, 2010

EQUITABLE ADVISORS, LLC

BD

CRD#: 6627

NEW ORLEANS, LA

Past

October 15, 1999 - April 16, 2001

UBS FINANCIAL SERVICES INC.

BD

CRD#: 8174

WEEHAWKEN, NJ

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: 11/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 10/18/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 9/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 10/14/1999

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 5/20/1999

Investment Company Products/Variable Contracts Representative 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

Lynn D. Cawthorne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/1/1999

Series 63

Date: 10/18/1999

SIE

Date: 9/24/2018

Series 7

Date: 10/14/1999

Series 6

Date: 5/20/1999

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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