Carlos M. Padial Iii
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carlos M Padial Iii CFP®, who also goes by Christian Trey Anderson, Carlos Manuel Padial III, Carlos M Padial III Cfp, Carlos Padial Iii, Carlos M Padial Iii Cfp, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2007. Carlos had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2014 - June 9, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 24, 2014 - June 9, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 14, 2013 - July 5, 2013
LPL FINANCIAL LLC
June 13, 2013 - July 5, 2013
LPL FINANCIAL LLC
September 16, 2011 - July 10, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 16, 2011 - July 10, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 25, 2011 - August 9, 2011
VFG SECURITIES, INC.
March 10, 2011 - August 9, 2011
VFG ADVISORS, INC.
April 14, 2010 - December 16, 2010
LUCIA CAPITAL GROUP
June 18, 2008 - October 20, 2010
RAYMOND J. LUCIA COMPANIES, INC.
November 9, 2007 - December 15, 2010
FIRST ALLIED SECURITIES, INC.
June 14, 2007 - October 10, 2007
PFS INVESTMENTS INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
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.
