TC
Taylor Caggiula
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Malden, MA 02148
Some features on this profile are disabled
CRD#: 6519855
TC
Professional summary
Taylor Caggiula is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Malden, Massachusetts and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Exeter, New Hampshire.
Taylor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Taylor has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 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) BETA INDUSTRIES INC, EXETER NH, 01/2023, ADMINISTRATIVE STAFF, SECURITIES DBA, INV REL, 30 HR/MO 10 HR/MO TRADING 2) CL INVESTMENT PARTNERS LLC, EXETER NH, 12/2022, OWNER, HOLDING COMPANY, INV REL, 0 HR/MO 0 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD, IA, 12/2022, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 4) CANTELLA, EXETER NH, 12/2022, FINANCIAL PROFESSIONAL USING A DBA NAME, INV REL, 160 HR/MO 135 HR/MO TRADING 5) TAYLOR CAGGIULA, EXETER NH, 11/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 2 HR/MO 2 HR/MO TRADING 6) JAMES CONKLIN MEMORIAL SCHOLARSHIP, PLYMOUTH NH, 01/2024, BOARD MEMBER, NIR, 2 HR/MO 0 HR/MO TRADING 7) 5 STAR CONTRACTING SERVICES, LLC, Franklin TN 37069, 06/2024, Owner, Owner/Partner of a Business Entity, INV REL, 20 HR/MO, 4 HR/MO TRADING. 8) 5235 POND CREEK RD, LLC, Pegram TN 37143, 05/2025, Owner, Real Estate, NIR, 1 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Taylor Caggiula'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
December 8, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 389 Main Street Suite 101, Malden, MA 02148Office #3: 389 Main St. Ste. 101, Malden, MA 02148RIA
CRD#: 134139
Malden, MA
Current
December 9, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #2: 389 Main St., Ste. 101, Malden, MA 02148Office #3: 389 Main Street. 1st Fl., Malden, MA 02148BD
CRD#: 39543
Exeter, NH
Past
November 14, 2018 - April 3, 2023
CANTELLA & CO., INC.
RIA
CRD#: 13905
Malden, MA
Past
November 14, 2018 - December 9, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
Malden, MA
Past
July 23, 2018 - November 2, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
PORTSMOUTH, NH
Past
November 24, 2015 - January 7, 2016
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
Portsmouth, NH
Past
November 24, 2015 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
PORTSMOUTH, NH
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
Indiana(12/9/2022)
RR
Maine(12/9/2022)
RR
Massachusetts(12/9/2022)
IAR
Massachusetts(8/22/2023)
IAR
New Hampshire(12/8/2022)
RR
New Hampshire(12/9/2022)
RR
Pennsylvania(9/26/2025)
RR
Tennessee(12/9/2022)
RR
Vermont(10/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 134139Malden, MA 02148TRUST BUT VERIFY
Monitor Taylor Caggiula
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
