Emily N. Lee
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
ABINGDON, VA 24210
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CRD#: 5876856
Professional summary
Emily N Lee, CFP®, CPWA®, who also goes by Emily N Cockerham, Emily Nicole Cockerham, Emily Nicole Lee, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Abingdon, Virginia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Abingdon, Virginia.
Emily is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Emily has worked at 6 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Emily N Cockerham | Emily Nicole Cockerham | Emily Nicole Lee
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) WASHINGTON COUNTY ROTARY, 112 COURT ST NE ABINGDON VA, 01/2024, TREASURER, CIVIC CLUB, NIR, 4 HR/MO 0 HR/MO TRADING 2) HIGHLANDS COMMUNITY SERVICES, 610 CAMPUS DR ABINGDON VA, 01/2024, BOARD MEMBER, COMMUNITY SERVICES, NIR, 1 HR/MO 0 HR/MO TRADING 3) BOYS AND GIRLS CLUB OF THE MOUNTAIN EMPIRE, 334 REBECCA ST BRISTOL VA, 01/2024, BOARD MEMBER, NIR, 2 HR/MO 0 HR/MO TRADING 4) STATELINE WEALTH ADVISORS, 815 SHELBY STREET SUITE 103 BRISTOL TN, 01/2024, IAR, DBA, INV REL, 170 HR/MO 130 HR/MO TRADING 5) STATELINE WEALTH PROPERTIES LLC, 410 W MAIN STREET ABINGDON VA, 08/2024, OWNER, REAL ESTATE, NIR, 160 HR/MO 160 HR/MO TRADING 6) WILLIAM KING MUSEUM OF ART, 415 Academy Dr. NW, Abingdon VA 24210, 03/2025, Board Trustee, Arts/Performing Arts, NIR, 2 HR/MO, 1 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Emily N Lee'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: 2015
CPWA®
Start date: 2021-03-25
Expire date: 2023-02-28
Experience
Current
January 2, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 410 West Main St., Abingdon, VA 24210RIA
CRD#: 134139
ABINGDON, VA
Current
January 2, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 410 West Main St., Abingdon, VA 24210BD
CRD#: 39543
ABINGDON, VA
Past
December 6, 2021 - January 2, 2024
CONCORD WEALTH PARTNERS
RIA
CRD#: 118643
ABINGDON, VA
Past
June 5, 2019 - December 14, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
JOHNSON CITY, TN
Past
May 6, 2019 - December 8, 2021
CWM, LLC
RIA
CRD#: 155344
Johnson City, TN
Past
May 14, 2014 - April 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BRISTOL, TN
Past
November 27, 2013 - April 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BRISTOL, TN
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
North Carolina(5/7/2025)
RR
Tennessee(4/3/2024)
RR
Virginia(1/2/2024)
IAR
Virginia(1/2/2024)
Exams
State Security Law Exam
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#: 134139Abingdon, VA 24210TRUST BUT VERIFY
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