AN
Andrew H. Nollman
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
FRANKLIN, CT
Some features on this profile are disabled
CRD#: 5039949
AN
Professional summary
Andrew H Nollman, AIF® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Franklin, Connecticut and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Franklin, Connecticut.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Andrew has worked at 3 firms and has passed the Series 66, 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. ROSE CITY FINANCIAL SERVICES LLC, 65 YANTIC LN, NORWICH, CT, 2/2009 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/WK - 2/TRADING. 2. GREATER NORWICH AREA CHAMBER OF COMMERCE, 112 MAIN ST, NORWICH, CT 06360. BEGAN 1/6/08 AS CHAIRMAN. NOT INVESTMENT RELATED. DEVOTES 1 HR/MNTH, NONE DURING TRADING. 3. BROTHERS OF JOSEPH CEMETARY COMMITTEE. NORWICH, CT. STARTED 01/2013 AS COMMITTEE MEMBER. SPENDS 2 HRS/MONTH, NONE DURING TRADING. NON-PROFIT. 4. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 55/WK - 6/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 5. NORWICH FREE ACADEMY, 305 BROADWAY, NORWICH, CT, 01/2019. CORPORATOR, REVIEW SCHOOL GOVERNANCE STRUCTURE, APPROVE NOMINATIONS TO THE BOARD, BE AN AMBASSADOR/SUPPORTER OF THE SCHOOL. NIR-2/YR-0/TRADING. 6. NORWICH ROTARY CLUB BLACKMAR SCHOLARSHIP, 40 Cuprak Rd, Norwich CT 06360, United States, 11/01/2011, Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR- 1 HR/MO- 1/TRADING HR. 7. GREATER NORWICH AREA BUSINESS/INDUSTRY FOUNDATION, INC. / 187 Main Street, Norwich CT 06360 / 01/01/2022 / NIR / BOARD MEMBER - RAISES MONEY THRU EVENS AND DONATES BACK TO THE LOCAL COMMUNITY / 1HR/MO - 0 HR/MO TRADING 8. ROSE CITY NETWORK, 10 LAURA BLVD, NORWICH CT 06360, 05/2024, VICE PRESIDENT, VOLUNTEER, NIR, 4 HR/MO - 0 HR/MO TRADING. 9. ROSE CITY FINANCIAL SERVICES, North Franklin CT 06254, United States, 02/09/2009, IAR, DBA Name, INV REL, 160 HR/MO - 120 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew H Nollman'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®
Experience
Current
February 6, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
FRANKLIN, CT
Current
February 6, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 210 Route 32 Suite 104, Franklin, CT 06254BD
CRD#: 39543
Franklin, CT
Past
June 20, 2008 - February 3, 2009
EDWARD JONES
RIA
CRD#: 250
NORWICH, CT
Past
November 30, 2005 - February 3, 2009
EDWARD JONES
BD
CRD#: 250
NORWICH, 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
Connecticut(2/6/2009)
IAR
Connecticut(2/6/2009)
RR
Florida(9/30/2010)
RR
Georgia(9/17/2021)
RR
Maine(1/2/2015)
RR
Massachusetts(1/4/2010)
RR
New York(1/2/2015)
RR
North Carolina(1/3/2014)
RR
Ohio(4/2/2024)
RR
Rhode Island(2/6/2009)
RR
South Carolina(4/9/2015)
RR
Vermont(1/3/2012)
RR
Virginia(2/21/2023)
RR
Washington(1/2/2024)
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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
