CT
Cathy A. Tamez
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
McKinney, TX
Some features on this profile are disabled
CRD#: 4221255
CT
Professional summary
Cathy A Tamez, who also goes by Cathy Tamez Goforth, Cathy Ann Tamez, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Mckinney, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Richardson, Texas.
Cathy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Cathy has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cathy Tamez Goforth | Cathy Ann Tamez
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 - 20/WK - 20/TRADING. 05/14/15. 2) NATIONWIDE, 3400 SOUTHPARK PL STE A DSPF-F4, GROVE CITY, OH, 10/15/2019 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 7/MO - 1/TRADING. 3) CATHY TAMEZ, 7200 BRYCE CANYON DR, MCKINNEY, TX, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 02/01/21, 5 HR/WK- 0/TRADING HR. 4) DOTERRA, 389 S 1300 W, Pleasant Grove UT 84062, United States, 04/15/2022, Wellness Advocate, Retail Sales/Distribution, NIR, 4 HR/MO - 0 HR/MO TRADING 5) TEN4 FINANCIAL LLC, 2345 NORTH CENTRAL EXPRESSWAY 12TH FLOOR RICHARDSON TX 75080, 01/2023, OWNER, DBA, NIR, 160 HR/ MO 160 HR/MO TRADING 6) ASSURANCE ASSET MANAGEMENT, INC., 7200 Bryce Canyon Dr, McKinney TX 75072, United States, 05/15/2023, President, Insurance/Benefits/Human Resources, NIR, 40 HR/MO - 10 HR/MO TRADING 7) BLUE BENEFITS STRATEGIES, LLC, 7200 Bryce Canyon Dr, McKinney TX 75072, 05/2023, DBA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 40 HR/MO, 10 Trading 8) BLUE CAPITAL PARTNERS, LLC, 720 Bryce Canyon Dr, McKinney TX 75072, 06/05/2023, Manager, The intention of this company is at some point to sell to another entity. No prospects at this time., NIR, 3 HR/MO - 2 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Cathy A Tamez'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
May 1, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 2435 North Central Expwy. Ste. 1200, Richardson, TX 75080RIA
CRD#: 134139
McKinney, TX
Current
May 4, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2435 North Central Expwy. Ste. 1200, Richardson, TX 75080BD
CRD#: 39543
Richardson, TX
Past
January 1, 2008 - March 25, 2015
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SOUTHLAKE, TX
Past
May 19, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SALT LAKE CITY, UT
Past
April 1, 2003 - March 25, 2015
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
MCKINNEY, TX
Past
September 11, 2000 - May 19, 2006
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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
Arizona(2/17/2022)
RR
California(1/3/2020)
RR
Colorado(1/7/2022)
RR
District of Columbia(5/18/2018)
RR
Florida(1/3/2018)
RR
Georgia(1/6/2023)
RR
Hawaii(3/3/2025)
RR
Idaho(1/5/2022)
RR
Illinois(5/13/2022)
RR
Indiana(1/3/2022)
RR
Iowa(1/5/2023)
RR
Kansas(1/3/2023)
RR
Kentucky(1/3/2022)
RR
Louisiana(1/7/2022)
RR
Massachusetts(3/31/2025)
RR
Michigan(5/14/2024)
RR
Mississippi(1/4/2022)
RR
Missouri(1/25/2022)
RR
Nevada(1/4/2024)
RR
New York(1/2/2024)
RR
North Carolina(1/4/2022)
RR
Ohio(1/3/2022)
RR
Oklahoma(5/15/2015)
RR
South Carolina(1/11/2022)
IAR
Texas(5/1/2015)
RR
Texas(5/14/2015)
RR
Utah(1/19/2022)
RR
Virginia(1/3/2022)
RR
Washington(1/3/2022)
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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
