TM
Thomas M. Mitcham
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Daphne, AL 36526
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CRD#: 5481389
TM
Professional summary
Thomas Matthew Mitcham, who also goes by Thomas M Mitcham, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Daphne, Alabama and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Pell City, Alabama.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Thomas has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas M Mitcham
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) MITCHAM GUNS, LLC, 2245 MARTIN STREET SOUTH PELL CITY AL, 09/2018, OWNER, OWNER/PARTNER OF A BUSINESS ENTITY, NIR, 8 HR/MO 0 HR/MO TRADING 2) NATIONAL BROKERAGE, 1000 FORREST PLACE SUITE 3 PELL CITY AL, 10/2008, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, NIR, 10 HR/MO 10 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO 40 HR/MO TRADING, 06/2022 4) ELBS AVIATION LLC, 1000 FORREST PLACE SUITE 3 PELL CITY AL, 02/2023, OWNER, CPA BUSINESS, NIR, 5 HR/MO 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Matthew Mitcham'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®
NoneExperience
Current
June 2, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 28740 Us Highway 98 Ste. 8, Daphne, AL 36526Office #2: 1000 Forrest Place, Suite 3, Pell City, AL 35128Office #3: 6 Office Park Circle, Suite 207, Mountain Brook, AL 35223RIA
CRD#: 134139
Daphne, AL
Current
June 2, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1000 Forrest Place, Suite 3, Pell City, AL 35128Office #2: 100 Centerview Drive, Ste. 121, Vestavia Hills, AL 35216Office #3: 28740 Us Highway 98 Ste. 8, Daphne, AL 36526BD
CRD#: 39543
Pell City, AL
Past
April 1, 2021 - June 2, 2022
GROVE POINT ADVISORS, LLC
RIA
CRD#: 313171
Pell City, AL
Past
March 24, 2010 - April 1, 2021
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
PELL CITY, AL
Past
September 9, 2008 - June 2, 2022
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
PELL CITY, AL
Past
March 28, 2008 - August 27, 2008
EDWARD JONES
RIA
CRD#: 250
PELL CITY, AL
Past
March 14, 2008 - August 27, 2008
EDWARD JONES
BD
CRD#: 250
PELL CITY, AL
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
IAR
Alabama(6/2/2022)
RR
Alabama(6/7/2022)
RR
California(6/2/2022)
RR
Florida(6/2/2022)
RR
Georgia(6/2/2022)
RR
Kentucky(8/11/2022)
RR
Michigan(6/2/2022)
RR
Mississippi(6/10/2022)
RR
North Carolina(6/3/2022)
RR
Ohio(6/2/2022)
RR
South Carolina(6/2/2022)
RR
Tennessee(2/23/2024)
RR
Texas(6/2/2022)
IAR
Texas(6/2/2022)
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Daphne, AL 36526TRUST BUT VERIFY
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