ES
Erik A. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Battle Creek, MI 49017
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CRD#: 5480897
ES
Professional summary
Erik Anthony Smith, AIF® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Battle Creek, Michigan and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Battle Creek, Michigan.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Erik has worked at 3 firms and has passed the Series 66, 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.Generations Financial Planning & Wealth Management, 77 Michigan Ave E, STE 140, Battle Creek, MI, 6/01/2008 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2 HR/YR - 2/TRADING. 2.BATTLE CREEK, MI ROTARY CLUB, PO BOX 2254, SINCE 7/01/2015 AS BOARD MEMBER. NIR - NON-PROFIT - DEVOTES 1 HR/MO - 1 HR/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 7/2011 AS ADVISORY REP OF A RIA. INV REL - 10 HR/WK - 10/TRADING. 07/05/11 4.ADVERTISING SOLUTIONS TODAY, 977 AIRPORT RD, JACKSON, MI, 4/05/2012 AS AUTHORIZED SIGNER FOR WIFE'S BUSINESS. NIR- 0 HRS. 7.TS & EA HOLDINGS LLC, 977 AIRPORT RD, JACKSON, MI, 8/01/2016 OWNER OF RENTAL COMMERCIAL REAL ESTATE. NIR - 1 HR/MO - 0/TRADING. 7. GENERATIONS FINANCIAL PLANNING, LLC, 977 AIRPORT RD, JACKSON MI, LLC/INVESTMENT BUSINESS, OWNER, 07/25/17, INV REL, 60/WK-32.5 TRADING 8. ES RENTAL PROPERTY, LLC, 977 AIRPORT RD, JACKSON, MI, LLC FOR RENTAL PROPERTY, OWNER, 02/22/19, OWNER, 0/WK 0/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Erik Anthony Smith'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
July 6, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 77 E Michigan Ave Ste 140, Battle Creek, MI 49017Office #2: 977 Airport Road, Jackson, MI 49202Office #3: 1803 Whites Rd. Ste. 6, Kalamazoo, MI 49008RIA
CRD#: 134139
Battle Creek, MI
Current
July 1, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 77 E Michigan Ave Ste 140, Battle Creek, MI 49017Office #2: 977 Airport Road, Jackson, MI 49202Office #3: 1803 Whites Rd. Ste. 6, Kalamazoo, MI 49008BD
CRD#: 39543
Battle Creek, MI
Past
April 23, 2008 - July 6, 2011
EDWARD JONES
RIA
CRD#: 250
JACKSON, MI
Past
March 17, 2008 - July 6, 2011
EDWARD JONES
BD
CRD#: 250
JACKSON, MI
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
Alabama(8/11/2014)
RR
Florida(1/2/2014)
RR
Georgia(8/11/2014)
RR
Indiana(8/11/2014)
RR
Maryland(1/9/2019)
RR
Michigan(7/1/2011)
IAR
Michigan(7/6/2011)
RR
Minnesota(6/30/2025)
RR
Pennsylvania(8/11/2014)
RR
Tennessee(8/11/2014)
RR
Texas(9/11/2020)
IAR
Texas(9/14/2020)
RR
Utah(11/14/2024)
RR
Virginia(5/23/2014)
RR
Washington(8/5/2022)
RR
Wisconsin(9/11/2014)
Exams
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
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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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Battle Creek, MI 49017TRUST BUT VERIFY
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