MC
Mark I. Conway
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Kinston, NC 28501
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CRD#: 52842
MC
Professional summary
Mark Ishmael Conway JR, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Kinston, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Kinston, North Carolina.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Mark has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 1 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.CONWAY & COMPANY REALTORS, 2914 N HERITAGE ST, KINSTON, NC, 1/1967 AS OWNER OF SCORP SELLING RESIDENTIAL & COMMERCIAL REAL ESTATE. NIR - 5 HR/WK - 0/TRADING. 2.FINANCIAL RESEARCH ASSOCIATES, 2914 N HERITAGE ST, KINSTON, NC, 1/1967 AS OWNER/INDEPENDENT INSURANCE AGENT SELLING FIXED ANNUITIES THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR - 5 HR/WK - 3/TRADING. 3.CONWAY & COMPANY PROPERTY MANAGEMENT, 2914 N HERITAGE ST, KINSTON, NC, 1/1967 AS OWNER OF SCORP MANAGING PROPERTY. NIR - 5 HR/WK - 0/TRADING. 4.CONWAY & COMPANY INSURERS, 2914 N HERITAGE ST, KINSTON, NC, 1/1967 AS OWNER/AGENT SELLING/SERVICING P&C, HEALTH, & LIFE PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR - 10 HR/WK - 0/TRADING. 5.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 6.MIC HOLDINGS, LLC, 2914 North Herritage Street, Kinston NC 28501, United States, 10/07/2021, Owner, Real Estate, NIR, 1 HR/MO - 1 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Mark Ishmael Conway JR'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: 1989
Experience
Current
May 3, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2914 N Herritage St., Kinston, NC 28501RIA
CRD#: 134139
Kinston, NC
Current
May 3, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2914 N Herritage St, Kinston, NC 28501BD
CRD#: 39543
Kinston, NC
Past
December 31, 2001 - May 11, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
KINSTON, NC
Past
April 1, 1991 - May 11, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
KINSTON, NC
Past
December 16, 1987 - April 1, 1991
PW SECURITIES, INC.
BD
CRD#: 6775
Past
May 1, 1979 - December 24, 1987
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
Past
February 20, 1975 - May 1, 1979
USLIFE EQUITY SALES CORP
BD
CRD#: 6815
Past
June 15, 1974 - February 1, 1988
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
Past
September 26, 1972 - May 31, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
BD
CRD#: 4291
Past
September 14, 1972 - January 19, 1975
CORNERSTONE FINANCIAL SERVICES, INC.
BD
CRD#: 953
Past
October 21, 1970 - July 30, 1975
CAROLINA INVESTORS CORP.
BD
CRD#: 1403
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
Florida(5/3/2016)
RR
Indiana(9/11/2019)
RR
Maryland(6/10/2016)
RR
North Carolina(5/3/2016)
IAR
North Carolina(5/3/2016)
RR
South Carolina(6/10/2016)
RR
Tennessee(3/18/2021)
RR
Virginia(5/20/2016)
RR
Washington(7/20/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/8/1968
Registered Representative ExaminationPrincipal/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
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.
