LO
Lyly Obayashi
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Honolulu, HI
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CRD#: 4683175
LO
Professional summary
Lyly Obayashi, who also goes by Lyly Phomsouvanh, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Honolulu, Hawaii and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Honolulu, Hawaii.
Lyly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Lyly has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lyly Phomsouvanh
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. WEALTH MANAGING PARTNERS, 1003 BISHOP ST, HONOLULU, HI, STE 1240, 07/2019. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-1/WK-0/TRADING.
2.WEALTH MANAGING PARTNERS, 1003 BISHOP ST, HONOLULU, HI, STE 1240, 07/2019. FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL-40/WK-30/TRADING.
3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-8/WK-5/TRADING. SEE EMPLOYMENT FOR START DATE.
CRS (Client Relationship Summary) - RIA
Click below to view Lyly Obayashi'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
July 23, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 1003 Bishop Street Pauahi Tower, Suite 1450, Honolulu, HI 96813RIA
CRD#: 134139
Honolulu, HI
Current
July 23, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1003 Bishop Street # 1240, Honolulu, HI 96813BD
CRD#: 39543
Honolulu, HI
Past
November 2, 2018 - July 23, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
HONOLULU, HI
Past
November 2, 2018 - July 23, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
HONOLULU, HI
Past
July 7, 2010 - November 2, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
HONOLULU, HI
Past
July 7, 2010 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
HONOLULU, HI
Past
June 26, 2009 - July 2, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
HONOLULU, HI
Past
June 26, 2009 - July 2, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
HONOLULU, HI
Past
April 4, 2007 - July 8, 2009
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HONOLULU, HI
Past
August 2, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 2, 2004 - July 8, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HONOLULU, HI
Past
August 11, 2003 - June 7, 2004
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 11, 2003 - June 7, 2004
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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(5/27/2021)
RR
Florida(1/2/2025)
RR
Hawaii(7/23/2019)
IAR
Hawaii(7/23/2019)
RR
Texas(7/9/2024)
IAR
Texas(7/9/2024)
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.
