Gary R. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Portland, ME 04101
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CRD#: 4679964
Professional summary
Gary R. Smith, AIF®, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Portland, Maine and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Portland, Maine.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Gary has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 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, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 2) NEW ENGLAND MEDICARE ADVISORS, 75 Pearl Street, Suite 204, Portland ME 04101, 09/25/2023, Owner, Insurance/Benefits/Human Resources, NIR, 10 HR/MO - 5 HR/MO TRADING 3) THE OSPREY AVENUE PRIVATE ROAD ASSOCIATION, 219 Royall Point Road, Yarmouth ME 04096, 09/25/2023, Secretary, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 1 HR/MO - 0 HR/MO TRADING 4) WEALTHSMITH FINANCIAL PLANNING LLC, 75 Pearl Street, Suite 204, Portland ME 04101, 09/25/2023, Owner, DBA Name, INV REL, 200 HR/MO - 90 HR/MO TRADING 5) MAINE DIVORCE FINANCIAL ANALYSTS LLC, 7 OSPREY AVE, Suite 204, Portland ME 04101, 07/2025, Owner, Divorce Planning Services, NIR, 15 HR/MO, 3 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Gary R. Smith'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: 2016
Experience
Current
December 13, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 75 Pearl Street, Suite 204, Portland, ME 04101RIA
CRD#: 134139
Portland, ME
Current
December 9, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 75 Pearl Street Suite 204, Portland, ME 04101BD
CRD#: 39543
Portland, ME
Past
February 12, 2014 - June 7, 2023
CANTELLA & CO., INC.
RIA
CRD#: 13905
Portland, ME
Past
February 7, 2014 - December 9, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
Portland, ME
Past
December 23, 2009 - February 12, 2014
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
CUMBERLAND FORESIDE, ME
Past
June 9, 2009 - February 7, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
CUMBERLAND FORESIDE, ME
Past
November 14, 2007 - June 3, 2009
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MERRIMACK, NH
Past
July 10, 2003 - January 3, 2005
AFS BROKERAGE, INC.
BD
CRD#: 25924
AUSTIN, 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(12/9/2022)
RR
Connecticut(12/9/2022)
RR
Florida(12/9/2022)
RR
Maine(12/9/2022)
IAR
Maine(12/14/2022)
RR
Maryland(12/9/2022)
RR
Massachusetts(12/9/2022)
RR
New Hampshire(12/9/2022)
RR
Texas(12/9/2022)
IAR
Texas(12/13/2022)
RR
Virginia(6/18/2024)
RR
Washington(12/9/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 134139Portland, ME 04101TRUST BUT VERIFY
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