HG
Harold B. Gordy
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
BERLIN, MD 21811
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CRD#: 4422674
HG
Professional summary
Harold B Gordy III, who also goes by Chip Gordy, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Berlin, Maryland and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Berlin, Maryland.
Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Harold has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chip Gordy
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)TARGET INSURANCE SERVICES INC, 11020 OAKMONT, OVERLAND PARK, KS, 12/2013 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 3/WK - 1/TRADING. 2)COASTAL WEALTH MANAGEMENT LLC, BERLIN, MD, OWNER SINCE 10/20/09, 50 HOURS PER WEEK, 37.5 HOURS DURING TRADING, BUSINESS ENTITY USE FOR ALL ASPECTS OF FINANCIAL SERVICES. 3)COASTAL WEALTH MANAGEMENT, LLC, 10441 RACETRACK RD, UNIT 1, BERLIN, MD- AUTHOR 2 FINANCIAL BOOKS, 08/11/15, INV REL, 2 HR/WK- 0/TRADING HR. 4)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 25/WK - 25/TRADING. 10/20/09.
CRS (Client Relationship Summary) - RIA
Click below to view Harold B Gordy 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
October 20, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 10441 Racetrack Rd Unit #1, Berlin, MD 21811RIA
CRD#: 134139
BERLIN, MD
Current
October 20, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 10441 Racetrack Rd Unit #1, Berlin, MD 21811BD
CRD#: 39543
Berlin, MD
Past
May 14, 2004 - October 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
OCEAN CITY, MD
Past
May 10, 2004 - October 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
OCEAN CITY, MD
Past
February 25, 2002 - May 13, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
LEWES, DE
Past
September 7, 2001 - May 13, 2004
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
RR
Alaska(2/14/2023)
RR
Arizona(10/21/2022)
RR
California(10/20/2009)
RR
Colorado(12/15/2009)
RR
Delaware(10/28/2009)
RR
Florida(10/20/2009)
RR
Iowa(3/26/2025)
RR
Maryland(10/20/2009)
IAR
Maryland(10/20/2009)
RR
Michigan(2/6/2024)
RR
Minnesota(5/2/2019)
RR
Nevada(2/2/2021)
RR
New Jersey(10/20/2009)
RR
New York(6/20/2018)
RR
North Carolina(6/15/2011)
RR
Pennsylvania(10/20/2009)
RR
Texas(1/2/2025)
IAR
Texas(1/2/2025)
RR
Virginia(10/20/2009)
RR
Washington(3/15/2019)
RR
West Virginia(1/2/2024)
Exams
State Security Law Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Berlin, MD 21811TRUST BUT VERIFY
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