TS
Thomas E. Snow
CAMBRIDGE INVESTMENT RESEARCH
Sylvania, OH 43560
Some features on this profile are disabled
CRD#: 854068
TS
Professional summary
Thomas Emil Snow, who also goes by Tom Snow, is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Sylvania, Ohio.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1978. Thomas has worked at 10 firms and has passed the Series 63, SIE, Series 1 and Series 2 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Snow
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Emil Snow'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 21, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 5580 Monroe St. Ste. 102, Sylvania, OH 43560BD
CRD#: 39543
Sylvania, OH
Past
November 17, 2015 - December 31, 2021
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Sylvania, OH
Past
March 21, 2006 - November 17, 2015
SPC
RIA
CRD#: 110692
TOLEDO, OH
Past
January 20, 2006 - November 17, 2015
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
TOLEDO, OH
Past
March 31, 2003 - January 23, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CEDAR RAPIDS, IA
Past
October 15, 1993 - January 24, 1995
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
May 4, 1987 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
September 26, 1984 - December 1, 1986
NEW ENGLAND SECURITIES
BD
CRD#: 615
Past
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
July 3, 1978 - October 12, 1984
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
California(12/21/2021)
RR
Colorado(12/21/2021)
RR
Florida(12/21/2021)
RR
Georgia(4/6/2023)
RR
Illinois(12/21/2021)
RR
Indiana(12/21/2021)
RR
Iowa(12/21/2021)
RR
Michigan(12/21/2021)
RR
North Carolina(12/21/2021)
RR
Ohio(12/21/2021)
RR
South Carolina(12/21/2021)
RR
Virginia(10/13/2022)
RR
Washington(12/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/22/1978
Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 2
Date: 1/27/1972
Non-Member General Securities ExaminationSRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH, INC.
CAMBRIDGE | JORDAN CREEK FINANCIAL SERVICES | FAIRFIELD GLOBAL INVESTMENTS, INC. | CANTELLA & CO., INC. | CAMBRIDGE INVESTMENT RESERARCH, INC. | CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Phone number
(641) 472-5100
Established
Iowa since 10/12/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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, INC.
CRD#: 39543Sylvania, OH 43560TRUST BUT VERIFY
Monitor Thomas Snow
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
