CS
Christopher J. Seeley
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Worcester, MA 01606
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CRD#: 4492275
CS
Professional summary
Christopher James Seeley is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Worcester, Massachusetts and CAMBRIDGE INVESTMENT RESEARCH, INC. located in East Longmeadow, Massachusetts.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Christopher has worked at 6 firms and has passed the Series 66, SIE and Series 7 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.
1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 12/2018 AS ADVISORY REP OF A RIA. INV REL, 80 HRS/MO - 80 HRS/MO TRADING. 2) SEELEY CAPITAL MANAGEMENT INC, 1500 MAIN ST STE 1502, SPRINGFIELD, MA, 11/01/2002. SETTLEMENT PLANNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR, 80 HRS/MO - 80 HRS/MO TRADING. 3) SEELEY HOWARD PRIVATE WEALTH, 1500 MAIN STREET,1502, PO BOX 15267 SPRINGFIELD, MA, 01/2019, CEO, DBA, INV REL, 160 HRS/MO - 48 HRS/MO TRADING. 4) OSJ PARTNERS, LLC, CORPORATE CENTER WEST, 433 SOUTH MAIN STREET, STE 104, WEST HARTFORD, CT, 10/2020, CEO, BRANCH OFFICE, INV REL, 100 HRS/MO - 48 HRS/MO TRADING. 5) NEAA, LLC, 1500 MAIN STREET 1502, PO BOX 15267, SPRINGFIELD, MA, 11/07/20, MEMBER, 80 HRS/MO - 80 HRS/MO TRADING. 6) ISFP, LLC, 1500 MAIN STREET 1502, PO BOX 15267, SPRINGFIELD, MA, 06/08/13, NIR, 80 HRS/MO - 80 HRS/MO TRADING. 7) ACT, LLC, 874 WALKER RD, STE C, DOVER, DE, 01/09/17, NIR, 80 HRS/MO - 80 HRS/MO TRADING. 8) 200 N MAIN ST PARTNERS, 200 N MAIN ST, SUTE 1203, EAST LONGMEADOW, MA 01028, 12/2021, CO-OWNER, REAL ESTATE, NIR, 1 HR/MO - 0 HRS/MO TRADING. 9) WALDMAN FINANCIAL ADVISERS, 5901 Turkey Oak Road, N. Chesterfield VA 23237, United States, 01/01/2024, Owner, Using a Trade Name / DBA, INV REL, 1 HR/MO - 0 HRS/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher James Seeley'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 20, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 67 Millbrook St. Ste. 505, Worcester, MA 01606Office #3: 200 North Main St., West Bldg. Ste. 1203, East Longmeadow, MA 01028Office #4: 2 Granite Ave. Suite 415, Milton, MA 02186RIA
CRD#: 134139
Worcester, MA
Current
November 19, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 200 North Main St. West Bldg., Ste 1203 , East Longmeadow, MA 01028Office #2: 2 Granite Ave. Suite 415, Milton, MA 02186Office #3: 1090 South Collier Boulevard #512, Marco Island, FL 34145Office #4: 67 Millbrook St Ste 505, Worcester, MA 01606BD
CRD#: 39543
East Longmeadow, MA
Past
August 8, 2005 - December 14, 2018
OHANESIAN / LECOURS, INC.
RIA
CRD#: 23757
SPRINGFIELD, MA
Past
July 20, 2005 - December 14, 2018
OHANESIAN / LECOURS, INC.
BD
CRD#: 23757
SPRINGFIELD, MA
Past
November 24, 2004 - July 21, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
August 22, 2002 - December 6, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 29, 2002 - September 11, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Alabama(1/2/2020)
RR
Alaska(1/2/2020)
RR
Arizona(1/2/2020)
RR
California(11/19/2018)
RR
Colorado(1/9/2019)
RR
Connecticut(11/20/2018)
RR
Delaware(1/2/2020)
RR
District of Columbia(1/2/2020)
RR
Florida(11/19/2018)
IAR
Florida(8/20/2021)
RR
Georgia(1/2/2020)
RR
Hawaii(1/2/2020)
RR
Illinois(11/19/2018)
RR
Indiana(1/2/2020)
RR
Iowa(1/2/2020)
RR
Kansas(1/2/2020)
RR
Kentucky(1/2/2020)
RR
Louisiana(1/2/2020)
RR
Maine(1/2/2020)
RR
Maryland(1/2/2020)
IAR
Massachusetts(11/20/2018)
RR
Massachusetts(12/14/2018)
RR
Michigan(1/2/2020)
RR
Minnesota(1/2/2020)
RR
Missouri(1/2/2020)
RR
Montana(1/2/2020)
RR
Nebraska(1/2/2020)
RR
Nevada(1/2/2020)
RR
New Hampshire(12/14/2018)
RR
New Jersey(1/2/2020)
RR
New Mexico(11/10/2020)
RR
New York(11/19/2018)
RR
North Carolina(1/6/2020)
RR
Ohio(1/2/2020)
RR
Oklahoma(1/2/2020)
RR
Oregon(11/4/2019)
RR
Pennsylvania(12/14/2018)
RR
Puerto Rico(9/23/2025)
RR
Rhode Island(12/14/2018)
RR
South Carolina(11/4/2019)
RR
South Dakota(11/10/2020)
RR
Tennessee(1/2/2020)
RR
Texas(1/2/2020)
IAR
Texas(1/2/2020)
RR
Utah(1/2/2020)
RR
Vermont(3/18/2019)
RR
Virginia(12/14/2018)
RR
Washington(1/2/2020)
RR
West Virginia(1/2/2020)
RR
Wisconsin(1/2/2020)
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
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Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Worcester, MA 01606TRUST BUT VERIFY
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