TP
Thomas D. Pugh
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Mauldin, SC 29662
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CRD#: 6602976
TP
Professional summary
Thomas David Pugh, who also goes by Thomas Pugh, T Dave Pugh, Thomas David Pugh, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Mauldin, South Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Mauldin, South Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Thomas has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Pugh | T Dave Pugh | Thomas David Pugh
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. UBER TECHNOLOGIES, 1455 MARKET ST, FL 4, SAN FRANCISCO, CA, 9/2016 AS DRIVER. NIR - 10/WK - 0/TRADING. 2. SMARTPRO FINANCIAL LLC, 32 N MAIN ST, STE 102, BELMONT, NC, AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.11/07/18, NIR, 10/WK - 10/TRADING. 3. IMMANUEL LUTHERAN CHURCH, 2820 WOODRUFF RD, SIMPSONVILLE, SC, 9/2018 AS MUSIC DIRECTOR. NIR - 5/WK - 0/TRADING. 4. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 06/16/20 5. THOMAS PUGH, REAL ESTATE AGENT, 102 W. STONE AVE, GREENVILLE, SC., NIR, 09/09/2021, 160HR/MONTH, 80HR/MONTH TRADE. 6. SMARTPRO FINANCIAL, 2752 Pleasant Rd., Ste. 108, Ft Mill SC 29708, 06/2020, Investment Advisor Representative, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas David Pugh'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
June 8, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 104 Renaissance Circle, Mauldin, SC 29662RIA
CRD#: 134139
Mauldin, SC
Current
October 23, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 104 Renaissance Circle, Mauldin, SC 29662BD
CRD#: 39543
Mauldin, SC
Past
July 12, 2017 - November 16, 2017
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
CHARLOTTE, NC
Past
April 26, 2016 - August 10, 2016
PFS INVESTMENTS INC.
BD
CRD#: 10111
GREENVILLE, SC
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
Arizona(3/15/2021)
RR
California(5/30/2019)
RR
Connecticut(1/11/2024)
RR
Florida(5/31/2019)
RR
Kentucky(12/7/2020)
RR
Maryland(9/2/2021)
RR
New Jersey(10/27/2021)
RR
New York(5/1/2019)
RR
North Carolina(10/23/2017)
RR
Ohio(12/13/2021)
RR
South Carolina(10/23/2017)
IAR
South Carolina(6/8/2020)
RR
Vermont(7/1/2019)
RR
Washington(1/12/2022)
RR
West Virginia(5/31/2019)
RR
Wisconsin(5/31/2022)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Mauldin, SC 29662TRUST BUT VERIFY
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