CP
Cathy W. Pinard
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
South Windsor, CT 06074
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CRD#: 4282168
CP
Professional summary
Cathy Webster Pinard, who also goes by Cathy Mae Webster, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in South Windsor, Connecticut and CAMBRIDGE INVESTMENT RESEARCH, INC. located in South Windsor, Connecticut.
Cathy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Cathy has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cathy Mae Webster
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)ELLINGTON ASSOCIATES, LLC, ELLINGTON, CT, 5/2005 AS RENTAL REAL ESTATE OWNER. NIR - 100 HR/YR - 10/TRADING. 2)CPA - 7 KEYNOTE DRIVE, SUITE C, VERNON, CT, 09/1992 - NIR - 960 HR/YR - 480/TRADING. 3)CO-TRUSTEE OF P.L.D. LIVING TRUST AND DURABLE POA FOR P.L.D., 7 KEYNOTE DRIVE, SUITE C, VERNON, CT, 12/2017. NIR - 8/MO - 0/TRADING. 4)-PREMIER TAX & WEALTH ADVISORS, 7 KEYNOTE DRIVE, SUITE C, VERNON, CT, 12/2015. INV REL - FINANCIAL PROFESSIONAL UTILIZING DBA NAME. 5).PREMIER TAX & WEALTH ADVISORS, 7 KEYNOTE DRIVE, SUITE C, VERNON, CT, 12/2000 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5 HR/YR - 5/TRADING. 6).CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 1920 HR/YR - 1400/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 7) CMW ASSOCIATES LLC, 12 East Shore Road, Ellington CT 06029, 12/2024, Owner, Owner/Partner of a Business Entity, NIR, 2 HR/MO, 1 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Cathy Webster Pinard'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
November 16, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 85 Felt Road, Suite 603, South Windsor, CT 06074RIA
CRD#: 134139
South Windsor, CT
Current
November 16, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 85 Felt Road, Suite 603, South Windsor, CT 06074BD
CRD#: 39543
South Windsor, CT
Past
January 12, 2006 - November 17, 2015
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
SOUTH WINDSOR, CT
Past
January 3, 2006 - November 17, 2015
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SOUTH WINDSOR, CT
Past
October 31, 2005 - December 31, 2005
OSAIC SERVICES, INC.
BD
CRD#: 133763
ELLINGTON, CT
Past
December 11, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
May 11, 2001 - December 31, 2005
U.S. FINANCIAL ADVISORS
RIA
CRD#: 108763
ELLINGTON, CT
Past
February 22, 2001 - December 12, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
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(11/16/2015)
IAR
Connecticut(11/16/2015)
RR
Florida(1/9/2018)
RR
Massachusetts(12/23/2015)
RR
Montana(6/16/2021)
RR
Pennsylvania(9/12/2017)
Exams
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.
