PG
Preston G. Galarneau
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
North Yarmouth, ME
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CRD#: 706356
PG
Professional summary
Preston Gerard Galarneau is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in North Yarmouth, Maine and CAMBRIDGE INVESTMENT RESEARCH, INC. located in North Yarmouth, Maine.
Preston is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Preston has worked at 6 firms and has passed the Series 66, Series 63, 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) GALARNEAU GROUP WEALTH MANAGEMENT, 11 RIVER BASIN LANE NORTH YARMOUTH ME, 09/2013, PRESIDENT, DBA, INV REL, 160 HR/MO 150 HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 11/2022, ADVISORY REP OF AN RIA, INV REL, 160 HR/MO 120 HR TRADING 3) PRESTON GALARNEAU/THE GALARNEAU GROUP, 11 RIVER BASIN LANE, NORTH YARMOUTH, ME, 10/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 2 HR/MO, 2 HR/MO TRADING. 4) HIGHLAND LAKE CORPORATION, 122 PERCY HAWKES ROAD WINDHAM ME, 08/2024, TREASURER, NON-PROFIT REAL ESTATE CORPORATION, NIR, 1 HR/MO 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Preston Gerard Galarneau'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.
RIA
CRD#: 134139
North Yarmouth, ME
Current
December 9, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
North Yarmouth, ME
Past
January 11, 2010 - June 7, 2023
CANTELLA & CO., INC.
RIA
CRD#: 13905
North Yarmouth, ME
Past
January 8, 2010 - December 9, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
North Yarmouth, ME
Past
June 1, 2009 - January 20, 2010
MORGAN STANLEY
RIA
CRD#: 149777
PORTLAND, ME
Past
June 1, 2009 - January 20, 2010
MORGAN STANLEY
BD
CRD#: 149777
PORTLAND, ME
Past
October 31, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PORTLAND, ME
Past
July 26, 2004 - December 13, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PORTLAND, ME
Past
July 23, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PORTLAND, ME
Past
May 26, 2004 - July 30, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PORTLAND, ME
Past
February 18, 1980 - July 30, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(9/10/2025)
RR
California(12/9/2022)
RR
Florida(12/9/2022)
RR
Georgia(12/9/2022)
IAR
Maine(12/8/2022)
RR
Maine(12/9/2022)
RR
Maryland(12/9/2022)
RR
Massachusetts(12/9/2022)
RR
New Hampshire(12/9/2022)
RR
New Mexico(12/9/2022)
RR
Pennsylvania(12/9/2022)
RR
Texas(12/9/2022)
IAR
Texas(12/13/2022)
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
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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.
