Thomas F. Shay
Professional summary
Thomas Francis Shay is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Rochester, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1978. Thomas has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Francis Shay's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 5, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1441 Monroe Ave, Rochester, NY 14618April 19, 2021 - April 16, 2026
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 27, 2004 - February 8, 2008
GUNNALLEN FINANCIAL, INC
January 28, 2003 - September 10, 2004
RBC CAPITAL MARKETS, LLC
January 8, 1999 - January 29, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 24, 1986 - December 24, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
September 2, 1986 - January 26, 1999
ADVEST, INC.
August 28, 1986 - December 24, 1986
AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.
January 12, 1979 - September 16, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 12, 1979 - September 17, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
January 12, 1979 - September 17, 1986
IDS LIFE INSURANCE COMPANY
September 8, 1978 - February 20, 1979
F. L. PUTNAM & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/18/2019)
(7/18/2025)
(2/5/2008)
(2/5/2008)
(2/5/2008)
(2/5/2008)
(3/23/2017)
Exams
Series 1
Date: 9/1/1978
Registered Representative ExaminationFINRA
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
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
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Company Information
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543Rochester, NY 14618TRUST BUT VERIFY
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