AP
Ann K. Pauley
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
COLUMBIA, SC 29204
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CRD#: 4324814
AP
Professional summary
Ann Kathryn Pauley, who also goes by Ann Kathryn Hurd, Ann Kathryn Hurd-pauley, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Columbia, South Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Columbia, South Carolina.
Ann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Ann has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ann Kathryn Hurd | Ann Kathryn Hurd-Pauley
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, 11/2012 AS ADVISORY REP OF A RIA. INV REL - 10 HR/WK - 8/TRADING. 2) HEARTLAND FINANCIAL ADVISOR, 2700 MIDDLEBURG DR, STE 210, COLUMBIA, SC, 3/2001 AS INDEPENDENT INSURANCE AGENT SELLING HEALTH, LIFE, DISABILITY, & LTC PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10 HR/MO- 10/TRADING. 3) SIXTH STONE, 4403 KILBOURNE RD, COLUMBIA, SC 292064532 ; BEGAN 09/17/2014 ; AS OWNER ; NOT INVESTMENT RELATED ; DEVOTES 20 HRS/MO ; NONE DURING TRADING HOURS. 4) ANGLICAN CATHEDRAL CHURCH OF THE EPIPHANY, 2512 N BELTLINE BLVD, COLUMBIA, SC, 06/2019. VESTRY MEMBER, PROVIDE INPUT AND RECOMMENDATIONS ON CHURCH BUSINESS. NIR-10/YR-0/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Ann Kathryn Pauley'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 1, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2700 Middleburg Drive Ste 210, Columbia, SC 29204RIA
CRD#: 134139
COLUMBIA, SC
Current
November 1, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2700 Middleburg Drive Suite 210, Columbia, SC 29204BD
CRD#: 39543
Columbia, SC
Past
August 16, 2006 - November 6, 2012
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
COLUMBIA, SC
Past
August 16, 2006 - November 6, 2012
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
COLUMBIA, SC
Past
April 7, 2004 - August 25, 2006
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
COLUMBIA, SC
Past
January 29, 2001 - August 25, 2006
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
COLUMBIA, SC
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(9/19/2014)
RR
Florida(4/13/2021)
RR
Georgia(12/13/2022)
RR
Nevada(11/1/2012)
RR
North Carolina(11/1/2012)
RR
Ohio(4/13/2021)
RR
South Carolina(11/1/2012)
IAR
South Carolina(11/1/2012)
RR
Tennessee(7/11/2017)
RR
Virginia(8/27/2024)
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
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Columbia, SC 29204TRUST BUT VERIFY
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