Thomas J Redmond | 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.

Thomas J Redmond, who also goes by Thomas Jack Redmond, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1968. Thomas had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Thomas Jack Redmond

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)RHL GROUP, 115 BATTLE ALLEY, HOLLY, MI, 8/1965 AS MANAGER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/MO - 0/TRADING. 2)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 22/WK - 22/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3.OZKER BUSINESS SERVICES, 115 BATTLE ALLEY, HOLLY, MI, 12/2008 AS PART-OWNER IN ENTITY TO PROVIDE BOOKKEEPING SERVICES. NIR - 5/MO - 0/TRADING. 4.ANCO & AFFILIATES LLC, FENTON, MI, 6/1976 HORSE RACING; OWNER; BEGAN 6/15/1976; 10 HOURS/MO, NONE DURING TRADING HOURS; OWN HARNESS RACE HORSES

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

June 24, 2014 - February 23, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

HOLLY, MI

Past

June 23, 2014 - February 23, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

HOLLY, MI

Past

September 10, 2010 - June 24, 2014

SPC

RIA

CRD#: 110692

HOLLY, MI

Past

September 8, 2010 - June 24, 2014

SIGMA FINANCIAL CORPORATION

BD

CRD#: 14303

HOLLY, MI

Past

November 11, 2003 - September 10, 2010

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

HOLLY, MI

Past

June 1, 1995 - November 12, 2003

SIGMA FINANCIAL CORPORATION

BD

CRD#: 14303

ANN ARBOR, MI

Past

April 28, 1995 - May 22, 1995

SIGMA FINANCIAL CORPORATION

BD

CRD#: 14303

Past

March 5, 1987 - April 28, 1995

FIDELITY EQUITY SERVICES CORPORATION

BD

CRD#: 17455

Past

March 7, 1985 - April 15, 1985

U.S. MUTUAL SECURITIES CORP.

BD

CRD#: 7046

Past

November 23, 1976 - May 5, 1986

THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY

BD

CRD#: 2797

Past

November 8, 1968 - March 2, 1972

FORESTERS FINANCIAL SERVICES, INC.

BD

CRD#: 305

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: 11/22/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 5/16/1985

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

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 1

Date: 11/2/1968

Registered 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

Thomas J. Redmond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

SPC

SIGMA FINANCIAL CORPORATION

MML INVESTORS SERVICES, LLC

SIGMA FINANCIAL CORPORATION

SIGMA FINANCIAL CORPORATION

FIDELITY EQUITY SERVICES CORPORATION

U.S. MUTUAL SECURITIES CORP.

THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/22/2010

Series 63

Date: 5/16/1985

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 11/2/1968

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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