William T. Saunders
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Glen Allen, VA
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CRD#: 3219295
Professional summary
William Thomas Saunders, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Glen Allen, Virginia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Henrico, Virginia.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. William has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 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) LAFAYETTE LIFE INS. 1905 TEAL RD. LAFAYETTE, IN 07/11/2005 AS AGENT, WHO SELLS AND SERVICES FIXED AND LIFE INSURANCE. NOT INVESMENT RELATED. DEVOTES 25 HRS/MNTH. 25 HRS DURING TRADING. 2) FIRST NATIONAL BANK, 3420 PUMP ROAD #230, RICHMOND, VA 1/16/2014 AS REFFERAL PROVIDER. NOT INVESTMENT RELATED. DEVOTES 1 HOUR/WEEK, 1 HOUR DURING TRADING. 3) RVA9 GOLF LEAGUE, 6020 ABINGTON PARK DR, GLEN ALLEN, VA, 4/18/2017 AS COMMISSIONER - RUN EVENTS FOR THE LEAGUE, SET UP MEMBERS IN VSGA GOLF SYSTEM. NIR - 2/WK - 1/TRADING. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 10/WK - 8/TRADING. 11/22/11. 5) VIRGINIA STATE GOLF ASSOCIATION, 2400 DOVERCOURT DR, MIDLOTHIAN, VA, 01/01/2020. BOARD MEMBER. NIR-30/YR-15/TRADING. 6) EVERYINCOME, 1950 OLD GALLOW RD, STE 770, VIENNA, VA, BUSINESS DEVELOPMENT SOFTWARE, 03/15/21, NIR, 1 HR/WK- 0/TRADING HR. 7) EQUITY CONCEPTS, LLC / 2550 Gaskins Rd, Henrico VA 23238-0002 / 01/01/2003 / NIR / 40 HR/MO - 40 HR/MO
CRS (Client Relationship Summary) - RIA
Click below to view William Thomas Saunders'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®
CFP®
Start date: 2008
Experience
Current
November 22, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 2550 Gaskins Rd, Suite B, Henrico, VA 23238RIA
CRD#: 134139
Glen Allen, VA
Current
November 22, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2550 Gaskins Rd, Suite B, Henrico, VA 23238BD
CRD#: 39543
HENRICO, VA
Past
November 3, 2008 - November 23, 2011
SANDERS MORRIS LLC
RIA
CRD#: 20580
RICHMOND, VA
Past
November 3, 2008 - November 23, 2011
SANDERS MORRIS LLC
BD
CRD#: 20580
RICHMOND, VA
Past
December 6, 2005 - November 3, 2008
QA3 FINANCIAL LLC
RIA
CRD#: 104957
RICHMOND, VA
Past
December 6, 2005 - November 3, 2008
QA3 FINANCIAL CORP.
BD
CRD#: 14754
RICHMOND, VA
Past
December 10, 2004 - December 2, 2005
CAPITAL INVESTMENT ADVISORS
RIA
CRD#: 118269
RICHMOND, VA
Past
May 7, 2003 - December 8, 2005
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
June 15, 2000 - December 13, 2002
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
FREDERICKSBURG, VA
Past
August 16, 1999 - December 13, 2002
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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
Connecticut(11/22/2011)
RR
Florida(11/22/2011)
RR
Michigan(11/22/2011)
RR
South Carolina(11/22/2011)
RR
Virginia(11/22/2011)
IAR
Virginia(11/22/2011)
RR
Washington(11/22/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product 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
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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.
