LT
Laurence B. Tipton
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Huntsville, AL
Some features on this profile are disabled
CRD#: 4184839
LT
Professional summary
Laurence Buell Tipton III, who also goes by Laurence Tipton III, Tipper Tipton, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Huntsville, Alabama and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Birmingham, Alabama.
Laurence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Laurence has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Laurence Tipton Iii | Tipper Tipton
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) LAURENCE B. TIPTON III, 110 SOUTH VIEW DR NW, HUNTSVILLE AL 35806, 02/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 8 HR/MO - 4 HR/MO TRADING 2) TIPTON ADVISORY GROUP, 110 SOUTH VIEW DR NW, HUNTSVILLE AL 35806, 20/2024, PRESIDENT, SECURITIES DBA, INV REL, 40 HR/MO - 30 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 02/2024 AS ADVISORY REP OF AN RIA. INV REL, 160 HR/MO, 120 HR/MO TRADING 4) PROSPER FINANCIAL PLANNING, 100 Centerview Dr, Suite 249, Birmingham AL 35216, 02/2025, IAR, DBA NAME, INV REL, 150 HR/MO - 135 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Laurence Buell Tipton III'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
February 5, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 100 Centerview Drive Suite 249, Birmingham, AL 35216Office #3: 100 Centerview Dr. Ste. 110, Birmingham, AL 35216RIA
CRD#: 134139
Huntsville, AL
Current
February 5, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 100 Centerview Drive Suite 249, Birmingham, AL 35216Office #2: 100 Centerview Dr. Ste. 110, Birmingham, AL 35216BD
CRD#: 39543
Birmingham, AL
Past
September 11, 2020 - February 5, 2024
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 149124
HUNTSVILLE, AL
Past
September 11, 2020 - February 5, 2024
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
HUNTSVILLE, AL
Past
October 4, 2017 - September 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HUNTSVILLE, AL
Past
September 29, 2017 - October 2, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HUNTSVILLE, AL
Past
September 29, 2017 - September 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HUNTSVILLE, AL
Past
April 2, 2015 - October 3, 2017
CETERA ADVISORS LLC
RIA
CRD#: 10299
MONTGOMERY, AL
Past
March 30, 2015 - October 3, 2017
CETERA ADVISORS LLC
BD
CRD#: 10299
MONTGOMERY, AL
Past
February 6, 2013 - April 2, 2015
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 149124
RALEIGH, NC
Past
August 23, 2011 - December 31, 2012
CIC ADVISERS, LLC
RIA
CRD#: 130735
RALEIGH, NC
Past
March 21, 2011 - April 2, 2015
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
MONTGOMERY, AL
Past
March 2, 2006 - March 25, 2011
W. R. TAYLOR & COMPANY, LLC
RIA
CRD#: 107179
MONTGOMERY, AL
Past
March 2, 2006 - March 25, 2011
W. R. TAYLOR & COMPANY, LLC
BD
CRD#: 107179
MONTGOMERY, AL
Past
February 14, 2003 - March 17, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MONTGOMERY, AL
Past
February 14, 2003 - March 17, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 25, 2001 - February 19, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MONTGOMERY, AL
Past
July 5, 2000 - February 19, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
IAR
Alabama(2/5/2024)
RR
Alabama(2/6/2024)
RR
Arkansas(2/5/2024)
RR
Florida(2/5/2024)
RR
Georgia(2/7/2024)
RR
Oklahoma(3/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
