EB
Eliot M. Bassin
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Avon, CT 06001
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CRD#: 6267805
EB
Professional summary
Eliot Michael Bassin is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Avon, Connecticut and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Avon, Connecticut.
Eliot is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Eliot 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. FIONDELLA, MILONE & LASARACINA LLP DBABREGMAN & COMPANY, P.C., 350 Bedford Street, Suite 203, Stamford CT 06901, 06/21/2010, Certified Public Accountant, Tax Services, NIR, 140 HR/MO - 120 HR/MO TRADING 2. JFS OF STAMFORD DEFERRED COMPENSATION TRUST, 733 SUMMER ST, 6TH FL, STAMFORD, CT, AS TRUSTEE. NIR - 2/YR - 0/TRADING. 3. CONGREGATION BETH ISRAEL, 701 FARMINGTON AVE, WEST HARTFORD, CT, 11/2017 AS FINANCE COMMITTEE MEMBER. NIR - 4/MO - 0/TRADING. 4. WEALTH PRESERVATION & MANAGEMENT, 311 MAIN ST, IRWIN, PA, 1/2016 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 20/WK - 4/TRADING. 5. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 6. CONGREGATION BETH ISRAEL, 701 FARMINGTON AVE, WEST HARTFORD, CT, 11/2017. MEMBER, PROVIDE OVERSIGHT AND REVIEW FINANCIAL PERFORMANCE. NIR-4/MO-0/TRADING. 7. GOLF CLUB OF AVON, FINANCE COMMITTEE MEMBER, 160 COUNTRY CLUB ROAD, AVON, CT, 09/27/2021, NIR, 2 HR/MO- 0/TRADING HR. 8. CONNECTICUT SOCIETY OF CERTIFIED PUBLIC ACCOUNTANTS, 716 Brook Street, Suite 100, Rocky Hill CT 06067, United States, 07/01/2024, Board Member, Volunteer, NIR, 2 HR/MO- 2/TRADING HR 9. CONNECTICUT SOCIETY OF CERTIFIED PUBLIC ACCOUNTANTS, 716 Brook Street, Suite 100, Rocky Hill CT 06067, United States, 07/01/2024, Committee Member, Volunteer, NIR, 2 HR/MO- 2/TRADING HR 10. ESTATE AND BUSINESS PLANNING COUNCIL OF HARTFORD, 95 West Street, Rocky Hill CT 06067, United States, 07/01/2024, Treasurer, Volunteer, NIR, 2 HR/MO- 1/TRADING HR
CRS (Client Relationship Summary) - RIA
Click below to view Eliot Michael Bassin'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
July 6, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 55 Nod Road, Avon, CT 06001RIA
CRD#: 134139
Avon, CT
Current
July 6, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 55 Nod Road, Avon, CT 06001BD
CRD#: 39543
Avon, CT
Past
June 10, 2014 - June 27, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
STAMFORD, CT
Past
May 6, 2014 - June 27, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
STAMFORD, CT
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
Connecticut(7/6/2017)
IAR
Connecticut(7/6/2017)
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.
