Brian T. Parker
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Naples, FL
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CRD#: 4280596
Professional summary
Brian Tallman Parker, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Naples, Florida and DEMPSEY LORD SMITH, LLC located in Rome, Georgia.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Brian has worked at 9 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 27 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Tallman Parker'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: 2013
Experience
Current
November 24, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 2702 Erie Avenue Suite 308, Cincinnati, OH 45208RIA
CRD#: 134139
Naples, FL
Current
January 6, 2026 - Present
DEMPSEY LORD SMITH, LLC
Office #1: 901 N Broad Street Suite 400, Rome, GA 30161RIA
BD
CRD#: 141238
ROME, GA
Current
November 21, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2702 Erie Avenue Suite 308, Cincinnati, OH 45208BD
CRD#: 39543
Cincinnati, OH
Past
April 11, 2022 - December 31, 2025
DEMPSEY LORD SMITH, LLC
RIA
CRD#: 141238
CINCINNATI, OH
Past
April 10, 2022 - November 21, 2025
DEMPSEY LORD SMITH, LLC
BD
CRD#: 141238
CINCINNATI, OH
Past
January 12, 2021 - December 9, 2022
PREMIUM 72 CAPITAL
RIA
CRD#: 284519
Cincinnati, OH
Past
June 7, 2019 - May 5, 2022
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
Cincinnati, OH
Past
June 24, 2014 - May 15, 2019
SANDLAPPER SECURITIES, LLC
BD
CRD#: 137906
Cincinnati, OH
Past
February 2, 2011 - December 31, 2020
COLONY PARK FINANCIAL SERVICES LLC.
RIA
CRD#: 41534
CINCINNATI, OH
Past
February 1, 2011 - June 23, 2014
COLONY PARK FINANCIAL SERVICES LLC.
BD
CRD#: 41534
CINCINNATI, OH
Past
December 8, 2009 - December 16, 2010
MORGAN STANLEY
RIA
CRD#: 149777
CINCINNATI, OH
Past
October 2, 2009 - December 16, 2010
MORGAN STANLEY
BD
CRD#: 149777
CINCINNATI, OH
Past
July 23, 2007 - March 2, 2009
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
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
California(11/21/2025)
RR
Florida(11/21/2025)
IAR
Florida(12/11/2025)
RR
Nebraska(11/21/2025)
RR
Nevada(11/21/2025)
RR
New Jersey(11/21/2025)
RR
North Carolina(12/15/2025)
RR
Ohio(11/21/2025)
IAR
Ohio(11/24/2025)
RR
Texas(11/21/2025)
IAR
Texas(11/24/2025)
Exams
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
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
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.
