NH
Nicole J. Harding
CAMBRIDGE INVESTMENT RESEARCH
Pittsford, NY 14534
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CRD#: 5045450
NH
Professional summary
Nicole J Harding, CFP® is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Pittsford, New York.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 2007. Nicole has worked at 5 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
THE HIGHLINE EVENT VENUE POSITION: employee NATURE: Bartender/ event employee at The Highline Events in Rochester, NY INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 09/25/2021 ADDRESS: 409 Alexander Street, Rochester NY 14607 DESCRIPTION: I bar back and work events at the Highline Event Venue SAI ADVISOR POSITION: advising assistant NATURE: Advisory affiliation with Securities America INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 11/03/2023 ADDRESS: 325 Westminster Rd, Rochester NY 14607 DESCRIPTION: assisting managing advisor with account maintenance, new account paperwork, client relationships, due diligence, research NICOLE J HARDING INSURANCE POSITION: insurance sales NATURE: insurance producer INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 10 START DATE: 01/15/2023 ADDRESS: 325 Westminster Rd, Rochester NY 14607 DESCRIPTION: ability to write new insurance or variable annuity business MELIORA WEALTH MANAGEMENT POSITION: advisor NATURE: branch oba INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2023 ADDRESS: 325 Westminster Road, Rochester NY 14607 DESCRIPTION: branch dba for marketing purposes
CRS (Client Relationship Summary) - BD
Click below to view Nicole J Harding'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
June 27, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1000 Pittsford Victor Rd., Pittsford, NY 14534BD
CRD#: 39543
Pittsford, NY
Past
December 1, 2023 - July 10, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
PITTSFORD, NY
Past
January 3, 2023 - November 21, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
ROCHESTER, NY
Past
December 18, 2018 - November 21, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
ROCHESTER, NY
Past
March 2, 2012 - December 24, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
ROCHESTER, NY
Past
June 25, 2007 - March 2, 2012
OSAIC FA, INC.
BD
CRD#: 3978
ROCHESTER, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
New York(6/27/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 6/27/2025
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH, INC.
CAMBRIDGE | JORDAN CREEK FINANCIAL SERVICES | FAIRFIELD GLOBAL INVESTMENTS, INC. | CANTELLA & CO., INC. | CAMBRIDGE INVESTMENT RESERARCH, INC. | CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Phone number
(641) 472-5100
Established
Iowa since 10/12/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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Company Information
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543Pittsford, NY 14534TRUST BUT VERIFY
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