RS
Robert J. Sampson
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Gales Ferry, CT 06335
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CRD#: 4785762
RS
Professional summary
Robert Joseph Sampson, CFP®, ChFC®, CLU®, who also goes by Bob Sampson, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Gales Ferry, Connecticut and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Gales Ferry, Connecticut.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Robert has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Sampson
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) ROBERT J SAMPSON, 41 KINGS HWY BOX 3, GALES FERRY, CT, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 11/01/14, INV REL, 200 HR/YR- 150/TRADING HR. 2) VISITING NURSES OF THE LOWER VALLEY, 61 MAIN STREET #5, CENTERBROOK CT, BOARD MEMBER OF A NON-PUBLIC ENTITY, 10/01/03, NIR, 20 HR/YR- 0/TRADING HR. 3) ROBERT J SAMPSON, 6 BANK STREET, MYSTIC, CT, RENTAL PROPERTY, 06/01/13, NIR, 06/01/13, OWNER, 10 HR/YR- 0/TRADING HR 4)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-80 HR/MO-80/TRADING 04/23/21- IAR THAT MANAGES CLIENT ASSETS OR PREPARES FINANCIAL PLANS FOR A FEE. OBA FORM SUBMITTED ON FINANCIAL PROFESSIONAL 'S BEHALF, BY CIR HOME OFFICE. TIME SPENT AND INCOME ARE ESTIMATED. 5) ALWAYS HOME, 119 HIGH STREET MYSTIC CT 06355, 10/2022, TREASURER, BOARD MEMBER, INV REL, 8 HR/MO 2 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Robert Joseph Sampson'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: 2008
Experience
Current
April 23, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 41 Kings Highway Box 3, Gales Ferry, CT 06335RIA
CRD#: 134139
Gales Ferry, CT
Current
April 23, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 41 Kings Highway Box 3, Gales Ferry, CT 06335BD
CRD#: 39543
Gales Ferry, CT
Past
November 18, 2014 - April 29, 2021
OSAIC FS, INC.
RIA
CRD#: 3870
GALES FERRY, CT
Past
November 18, 2014 - April 29, 2021
OSAIC FS, INC.
BD
CRD#: 3870
GALES FERRY, CT
Past
September 2, 2005 - November 5, 2014
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
GALES FERRY, CT
Past
January 4, 2005 - September 2, 2005
FIRST COMMAND BANK
RIA
CRD#: 128851
FORT WORTH, TX
Past
July 30, 2004 - November 5, 2014
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
GALES FERRY, CT
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
Arkansas(4/23/2021)
RR
Connecticut(4/23/2021)
IAR
Connecticut(4/23/2021)
RR
Florida(2/8/2022)
RR
Georgia(5/4/2022)
RR
Massachusetts(10/21/2021)
RR
New Hampshire(4/23/2021)
RR
New Jersey(4/23/2021)
RR
New Mexico(2/14/2023)
RR
Pennsylvania(4/23/2021)
RR
Rhode Island(4/23/2021)
RR
Virginia(4/23/2021)
RR
Wisconsin(4/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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#: 134139Gales Ferry, CT 06335TRUST BUT VERIFY
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