AC
Andrew J. Clark
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Etowah, TN 37331
Some features on this profile are disabled
CRD#: 6024332
AC
Professional summary
Andrew Jarrat Clark, who also goes by Aj Clark, Andrew J. Clark, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Etowah, Tennessee and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Etowah, Tennessee.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Andrew has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Aj Clark | Andrew J. Clark
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-THE COMMONWEALTH GROUP INC, 6 BRIDGEHAMPTON PL, RICHMOND, VA, 12/2015 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/MO - 0/TRADING. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 5/WK - 5/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3. AJ2 CAPITAL VENTURES, LLC,129 W SAINT CLAIR ST, ROMEO, MI, MEMBER LLC, 06/01/20, INV REL, 15/WK- 15/TRADING 4. TAY-J CAPITAL LLC / 2338 Yadkin Ave, #205, Charlotte NC 28205 / 03/01/2022 / MEMBER - REAL ESTATE / 5 HR/MO - 0 HR/MO TRADING 5) AJ2 CAPITAL VENTURES, LLC DBA ARTISAN CAPITAL MANAGEMENT, 400 Millstone Drive Suite 202, Hillsborough NC 27278, 01/2023, OWNER DBA NAME, NIR, 80 HR/MO - 80 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Jarrat Clark'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
January 2, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 400-a Tennessee Ave. Ste. 1, Etowah, TN 37331Office #2: 1026 Jay St., Charlotte, NC 28208Office #3: 400 Millstone Dr. Ste 202, Hillsborough, NC 27278RIA
CRD#: 134139
Etowah, TN
Current
January 1, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 400-a Tennessee Ave. Ste. 1, Etowah, TN 37331Office #2: 1026 Jay St., Charlotte, NC 28208Office #3: 400 Millstone Dr. Ste 202, Hillsborough, NC 27278BD
CRD#: 39543
Etowah, TN
Past
January 30, 2013 - July 9, 2013
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
RALEIGH, NC
Past
July 27, 2012 - July 9, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
RALEIGH, NC
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(7/16/2019)
RR
California(9/9/2019)
RR
District of Columbia(7/19/2018)
RR
Florida(1/2/2020)
RR
Georgia(5/27/2020)
RR
Maryland(8/15/2017)
RR
Michigan(5/27/2020)
RR
Missouri(5/27/2020)
RR
New Jersey(1/18/2017)
RR
New York(5/27/2020)
RR
North Carolina(1/5/2016)
IAR
North Carolina(5/26/2020)
RR
Ohio(1/2/2018)
RR
Pennsylvania(1/2/2020)
RR
South Carolina(1/2/2020)
RR
Tennessee(2/11/2021)
IAR
Tennessee(4/30/2021)
RR
Texas(5/27/2020)
IAR
Texas(5/27/2020)
RR
Virginia(1/1/2015)
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
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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.
