RL
Robert R. Lott
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Birmingham, AL 35243
Some features on this profile are disabled
CRD#: 712795
RL
Professional summary
Robert Randolph Lott, who also goes by Randy Lott, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Birmingham, Alabama and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Birmingham, Alabama.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Robert has worked at 7 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randy Lott
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) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, AS ADVISORY REP OF A RIA. INV REL, 80 HR/MO 80 HR/MO TRADING, 06/2020 2) ROBERT LOTT, 3535 GRANDVIEW PARKWAY STE 400 BIRMINGHAM AL, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 06/2020, INV REL, 8 HR/MO 8/TRADING HR 3) GREYSTONE CAPITAL MANAGEMENT INC, 3535 GRANDVIEW PARKWAY SUITE 400 BIRMINGHAM AL, 06/2020, IAR, DBA, INV REL, 100 HR/MO 50 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Robert Randolph Lott'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
May 27, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 3535 Grandview Parkway Suite 400, Birmingham, AL 35243RIA
CRD#: 134139
Birmingham, AL
Current
May 27, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Birmingham, AL
Past
February 14, 2018 - June 3, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
BIRMINGHAM, AL
Past
February 14, 2018 - June 3, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
BIRMINGHAM, AL
Past
October 6, 2010 - February 16, 2018
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
BIRMINGHAM, AL
Past
September 17, 2010 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
BIRMINGHAM, AL
Past
June 10, 2010 - September 13, 2010
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
BIRMINGHAM, AL
Past
May 27, 2010 - September 13, 2010
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
BIRMINGHAM, AL
Past
June 22, 1999 - June 3, 2010
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BIRMINGHAM, AL
Past
October 20, 1980 - June 3, 2010
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BIRMINGHAM, AL
Past
August 1, 1980 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
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
Alabama(6/4/2020)
IAR
Alabama(6/5/2020)
RR
Arizona(1/3/2024)
RR
Arkansas(6/4/2020)
RR
Florida(5/27/2020)
RR
Georgia(5/28/2020)
RR
Kentucky(6/5/2020)
RR
Louisiana(5/27/2020)
RR
Mississippi(5/27/2020)
RR
Missouri(6/4/2020)
RR
North Carolina(6/4/2020)
RR
South Carolina(5/27/2020)
RR
Tennessee(5/27/2020)
RR
Texas(5/27/2020)
IAR
Texas(5/27/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/22/1980
Registered Representative ExaminationSRO 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#: 134139Birmingham, AL 35243TRUST BUT VERIFY
Monitor Robert Lott
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
