WP
William J. Pennington
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Bland, VA 24315
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CRD#: 6747844
WP
Professional summary
William Joshua Pennington is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Bland, Virginia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Wytheville, Virginia.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. William 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) DOWNTOWN WYTHEVILLE INC, 180 W MAIN ST WYTHEVILLE VA, 01/2023, BOARD MEMBER, NIR, 3 HR/MO 0 HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 01/2023, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 3) WYTHEVILLE RURITANS AND LIONS CLUB, WYTHEVILLE VA 24382, 01/2024, MEMBER, CHARITABLE ORGANIZATION, NIR, 1 HR/MO 0 HR/MO TRADING 4) JOSH PENNINGTON/FIRST SENTINEL FINANCIAL SERVICES, 1105 NORTH FOURTH STREET WYTHEVILLE VA, 07/2017, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 10 HR/MO 0 HR/MO TRADING 5) WYVACON, 680 W Main Street, Wytheville VA 24382, 11/2024, Board Member, Volunteer, INV REL, 3 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view William Joshua Pennington'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 20, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 427 Main St., Bland, VA 24315Office #2: 315 Railroad Ave., Richland, VA 24641Office #3: 66 Townview Dr., Lebanon, VA 24266Office #4: 12678 George C. Perry Hwy., Pounding Mill, VA 24637Office #5: 118 Valleyview St., North Tazewell, VA 24630Office #6: 698 West Main Street, Abingdon, VA 24210Office #7: 329 Ingleside Road, Princeton, WV 24740Office #8: 801 South College Ave. Ste 5, Bluefield, VA 24605Office #9: 1105 North 4th St., Wytheville, VA 24382RIA
CRD#: 134139
Bland, VA
Current
January 20, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1105 North 4th St., Wytheville, VA 24382BD
CRD#: 39543
Wytheville, VA
Past
June 9, 2017 - January 27, 2023
EDWARD JONES
RIA
CRD#: 250
WYTHEVILLE, VA
Past
March 14, 2017 - January 27, 2023
EDWARD JONES
BD
CRD#: 250
WYTHEVILLE, VA
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
Georgia(10/8/2024)
RR
North Carolina(1/20/2023)
RR
Tennessee(1/20/2023)
RR
Virginia(1/20/2023)
IAR
Virginia(1/20/2023)
RR
West Virginia(1/20/2023)
IAR
West Virginia(2/6/2023)
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
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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#: 134139Bland, VA 24315TRUST BUT VERIFY
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