AS
Aaron F. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Derby, VT 05829
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CRD#: 5751909
AS
Professional summary
Aaron Francis Smith, who also goes by Aaron Smith, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Derby, Vermont and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Derby, Vermont.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Aaron has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Aaron Smith
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) STREETLIGHT FINANCIAL FOUNDATION, 8 MAIN STREET, FLORENCE, MA, 03/2021, PRESIDENT, NON-PROFIT, NIR, 12 HR/MO, 0 HR/MO TRADING. 2) STREETLIGHT ON-DEMAND, 8 MAIN ST, FLORENCE, MA, 10/2020, PARTNER, ADVISORY REP OF AN RIA, INV REL, 20 HR/MO, 20 HR/MO TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 08/2018, ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING. 4) STREETLIGHT FINANCIAL REAL ESTATE LLC, 8 MAIN ST, FLORENCE, MA, 04/2021, OWNER, REAL ESTATE, NIR, 1 HR/MO, 1 HR/MO TRADING. 5) STREETLIGHT FINANCIAL INC, 8 MAIN ST, FLORENCE, MA, 01/2010, INDEPENDENCE INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 40 HR/MO, 24 HR/MO TRADING. 6) LEDJR BUSINESS SERVICES LLC, 325 East Main Street, Newport VT 05855, United States, 07/01/2024, Owner, Accounting/Bookkeeping/Payroll Services, NIR, 4 HR/MO, 2 HR/MO TRADING. 7) STREETLIGHT FINANCIAL TECHNOLOGIES LLC, 8 Main St, Florence MA 01062, United States, 11/01/2025, Owner, Technology services, NIR, 4 HR/MO - 4 HR/MO Trading
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Francis 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®
NoneExperience
Current
August 10, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 34 Up North Drive Unit G, Derby, VT 05829Office #2: 8 Main St., Florence, MA 01062RIA
CRD#: 134139
Derby, VT
Current
August 6, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 34 Up North Drive Unit G, Derby, VT 05829Office #2: 8 Main St., Florence, MA 01062BD
CRD#: 39543
Derby, VT
Past
March 25, 2017 - August 8, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
FLORENCE, MA
Past
March 25, 2017 - August 8, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FLORENCE, MA
Past
March 29, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
FLORENCE, MA
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
FLORENCE, MA
Past
February 17, 2010 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
EAST LONGMEADOW, MA
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(5/31/2023)
RR
Alaska(5/31/2023)
RR
Arizona(4/21/2023)
RR
California(4/21/2023)
RR
Colorado(6/16/2021)
RR
Connecticut(8/6/2018)
RR
Delaware(5/31/2023)
RR
District of Columbia(3/12/2024)
RR
Florida(8/6/2018)
RR
Kentucky(7/7/2025)
RR
Maine(8/6/2018)
RR
Maryland(7/7/2021)
RR
Massachusetts(8/6/2018)
IAR
Massachusetts(8/10/2018)
RR
Montana(6/1/2023)
RR
New Hampshire(8/6/2018)
RR
New Jersey(4/22/2019)
RR
New Mexico(8/6/2018)
RR
New York(5/31/2023)
RR
North Carolina(6/20/2019)
RR
Pennsylvania(4/21/2023)
RR
Rhode Island(1/31/2019)
RR
South Carolina(8/6/2018)
RR
Texas(4/17/2023)
IAR
Texas(4/19/2023)
RR
Vermont(8/6/2018)
IAR
Vermont(7/21/2023)
IAR
Virgin Islands(1/5/2021)
RR
Virgin Islands(5/13/2022)
RR
Virginia(5/31/2023)
RR
Washington(5/31/2023)
RR
Wyoming(5/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/26/2019
General Securities Representative ExaminationGeneral 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.
