Eric N. Sawyer
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
LUBBOCK, TX
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CRD#: 4629196
Professional summary
Eric Neal Sawyer, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Lubbock, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Lubbock, Texas.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Eric has worked at 5 firms and has passed the Series 65, Series 63, 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) PEACEFIELD WEALTH SOLUTIONS, 1500 BROADWAY STE 1216 LUBBOCK TX, 09/2010, AS OWNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 10 HR/WK 10 HR/TRADING 2) TAX LAW SOLUTIONS, LLC 1550 LARIMER ST STE 530 DENVER CO, 10/2010, REFERRALS, TAX SERVICES, INV REL, 1 HR/WK 1 HR/TRADING 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 09/2010, AS ADVISORY REP OF A RIA. INV REL, 30 HR/WK 20 HR/TRADING 4) CE SPEAKER. LUBBOCK TX, 02/2015 AS SPEAKER WHO PROVIDES REQUIRED CFP BOARD ETHICS PRESENTATIONS FOR OTHER CERTIFIED FINANCIAL PLANNING CERTIFICANTS, 30 HR/YR 0 HR/TRADING 5) PEACEFIELD WEALTH SOLUTIONS, 1500 BROADWAY ST STE 1216 LUBBOCK TX, 06/2019. OWNER, PROVIDE ACCESS TO YOUREFOLIO.COM ONLINE SOFTWARE. NIR, 2 HR/WK 0 HR/TRADING 6) SPIRE OUTSOURCING, 1500 Broadway, Suite 1120, Lubbock TX 79401, United States, 02/01/2022, Director, Owner/Partner of a Business Entity, NIR, 96 HR/MO 48 HR/MO TRADING 7) SOUTH PLAINS TRUST & ESTATE COUNCIL, 5214 68TH STREET SUITE 100 LUBBOCK TX, 09/2024, TREASURER, PROFESSIONAL DEVELOPMENT ORGANIZATION, NIR, 2 HR/MO 0 HR/MO TRADING 8) TEXAS TECH UNIVERSITY, 2500 Broadway, Lubbock TX 79409, 01/2025, ADJUNCT PROFESSOR, TEACHING, NIR, 20 HR/MO - 8 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Eric Neal Sawyer'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: 2006
Experience
Current
September 1, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
LUBBOCK, TX
Current
September 1, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1500 Broadway Ste. 1120, Lubbock, TX 79401BD
CRD#: 39543
Lubbock, TX
Past
October 18, 2007 - September 7, 2010
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
DALLAS, TX
Past
October 18, 2007 - September 7, 2010
FSC SECURITIES CORPORATION
BD
CRD#: 7461
DALLAS, TX
Past
March 23, 2005 - May 22, 2008
QUEST CAPITAL MANAGEMENT, INC.
RIA
CRD#: 114690
DALLAS, TX
Past
March 27, 2003 - October 10, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
DALLAS, TX
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(1/21/2022)
RR
Florida(3/12/2024)
RR
Kansas(5/12/2023)
RR
Tennessee(7/25/2024)
RR
Texas(9/1/2010)
IAR
Texas(9/1/2010)
RR
Virginia(1/20/2021)
RR
Washington(7/24/2024)
Exams
State Security Law Exam
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.
