Colt R. Pierotti
CAMBRIDGE INVESTMENT RESEARCH ADVISORS | Associate Financial Advisor
Collierville, TN
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CRD#: 6813840
Professional summary
Colt Richard Pierotti, CIMA® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Collierville, Tennessee and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Bartlett, Tennessee.
Colt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Colt has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
What are your service offerings?
Executive Compensation and Ben...
Small Business
Tax Planning Strategies
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) DYNASTY WEALTH SOLUTIONS, 3106 Kirby Whitten Rd., Bartlett TN 38134, 10/16/2024, Board Member, Using a Trade Name / DBA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. 10/14/2024. 3) OX CAPITAL LLC, 3106 Kirby Whitten Rd, Bartlett TN 38134, United States, 07/14/2025, Owner, NIR, 2 HR/MO - 0 HR/MO TRADING 4) CK HORSE ENTERPRISES LLC, 1388 peyton parkway, collierville TN 38017, United States, 07/14/2025, Owner, NIR, 0 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Colt Richard Pierotti'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®
Experience
Current
October 14, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 3106 Kirby Whitten Rd., Bartlett, TN 38134RIA
CRD#: 134139
Collierville, TN
Current
October 14, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 3106 Kirby Whitten Rd., Bartlett, TN 38134BD
CRD#: 39543
Bartlett, TN
Past
November 22, 2022 - October 17, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CORDOVA, TN
Past
November 22, 2022 - October 17, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CORDOVA, TN
Past
April 17, 2019 - November 30, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MEMPHIS, TN
Past
February 2, 2019 - November 30, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MEMPHIS, TN
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(10/14/2024)
RR
Arizona(10/14/2024)
RR
Arkansas(10/14/2024)
RR
California(10/14/2024)
RR
Colorado(10/14/2024)
RR
Florida(10/14/2024)
RR
Georgia(10/14/2024)
RR
Illinois(10/14/2024)
RR
Kentucky(10/14/2024)
RR
Michigan(10/14/2024)
RR
Minnesota(10/14/2024)
RR
Mississippi(10/14/2024)
RR
Missouri(10/14/2024)
RR
Nevada(10/14/2024)
RR
North Carolina(10/14/2024)
RR
Tennessee(10/14/2024)
IAR
Tennessee(10/14/2024)
RR
Texas(10/14/2024)
IAR
Texas(10/14/2024)
RR
Utah(10/14/2024)
RR
Virginia(10/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/2/2019
General Securities Representative ExaminationGeneral 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
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Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Associate Financial AdvisorCRD#: 134139Collierville, TNTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
