Raymond W. Powell
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Prospect, CT 06712
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CRD#: 855705
Professional summary
Raymond William Powell SR, CFP®, who also goes by Raymond William Powell, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Prospect, Connecticut and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Prospect, Connecticut.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Raymond has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Raymond William Powell
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) RAYMOND W. POWELL 417 SMITH POND RD. WATERTOWN, CT 06795. BEGAN 06/01/1976 AS AGENT FOR FIXED INSURANCE, LIFE, LONG TERM CARE, DISABILITY, AND FIXED ANNUITY EXCLUDING EIA. NOT INVESTMENT RELATED. DEVOTES 5 HRS/MNTH. NONE DURING TRADING. 2) POWELL'S INCOME TAX SERVICE 42 WATERBURY RD. PROSPECT, CT 06712. BEGAN 01/01/1972 AS ENROLLED AGENT, PREPARING TAXES AND TAX RETURNS. NOT INVESTMENT RELATED. DEVOTES 20 HRS/MNTH. 1 HR DURING TRADING. 3) RWP ENTERPRISES INC., PROSPECT, CT. BEGAN ON 01/01/05. RENTAL PROPERTY. SPENDS 1 HOUR/MONTH, NONE DURING TRADING. 4) CIRA 1776 Pleasant Plain Road, Fairdfield IA 52556. Advisory Rep of a Registered Investment Advisor. 9/14/2017. 30/ weekly, 25/ trading. See employment history for start date. 5) POWELL'S FINANCIAL PLANNING SERVICE, LLC, 42 Waterbury Road, Prospect CT 06712, United States, 11/15/2021, Owner, NIR, 1 HR/MO - 0 HR/MO TRADING 6) POWELL`S FINANCIAL, 42 Waterbury Rd, Prospect CT 06712, United States, 10/28/2011, IAR, DBA Name, INV REL, 160 HR/MO - 120 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Raymond William Powell SR'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®
CFP®
Start date: 1987
Experience
Current
September 13, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 42 Waterbury Rd., Prospect, CT 06712Office #2: 4848 Ne 23rd Ave. Unit 1c 3rd Floor, Fort Lauderdale, FL 33308RIA
CRD#: 134139
Prospect, CT
Current
October 28, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 42 Waterbury Rd, Prospect, CT 06712BD
CRD#: 39543
Prospect, CT
Past
October 5, 2005 - November 4, 2011
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
PROSPECT, CT
Past
October 5, 2005 - November 4, 2011
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
PROSPECT, CT
Past
August 1, 2003 - October 10, 2005
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
November 21, 1985 - September 25, 2019
POWELL'S FINANCIAL PLANNING SERVICE
RIA
CRD#: 125825
PROSPECT, CT
Past
September 17, 1982 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
August 17, 1978 - August 30, 1982
LEGEND CAPITAL CORPORATION
BD
CRD#: 4149
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
California(10/28/2011)
RR
Colorado(10/28/2011)
RR
Connecticut(10/28/2011)
IAR
Connecticut(9/13/2017)
RR
Florida(10/28/2011)
IAR
Florida(3/21/2018)
RR
Georgia(2/11/2014)
RR
Hawaii(10/28/2011)
RR
Maine(10/28/2011)
RR
Massachusetts(10/28/2011)
RR
New Hampshire(10/28/2011)
RR
New Jersey(10/28/2011)
RR
New York(10/28/2011)
RR
North Carolina(10/28/2011)
RR
Ohio(10/28/2011)
RR
Rhode Island(10/28/2011)
RR
South Carolina(10/28/2011)
RR
Texas(1/2/2018)
IAR
Texas(1/2/2018)
RR
Vermont(10/28/2011)
RR
Virginia(10/28/2011)
RR
Wyoming(6/22/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/10/1978
Registered Representative ExaminationPrincipal/Supervisory 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Prospect, CT 06712TRUST BUT VERIFY
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