CB
Carl O. Bass
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Greensboro, NC 27408
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CRD#: 860336
CB
Professional summary
Carl Owen Bass is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Greensboro, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Greensboro, North Carolina.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Carl has worked at 13 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE and Series 1 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) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 09/2024, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO 40 HR/MO TRADING 2) WESTOVER CHURCH, 505 MUIRS CHAPEL ROAD GREENSBORO NC, 01/1985, SENIOR ELDER, RELIGIOUS ORGANIZATION, NIR, 2 HR/MO 0 HR/MO TRADING 3) BASS FINANCIAL STRATEGIES, INC., 600 Green Valley road, Suite 106, Greensboro NC 27408, 12/2002, President, Using a Trade Name / DBA, INV REL, 170 HR/MO, 140 HR/MO TRADING. 4) INSURANCE AGENT, 600 GREEN VALLEY ROAD SUITE 106 GREENSBORO NC, 08/1971, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 5 HR/MO 5 HR/MO TRADING 5) HORSEPOWER, INC., 4537 Walpole Rd, High Point NC 27265, 01/2025, BOARD MEMBER, NIR, 2 HR/MO - 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Carl Owen Bass'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
September 12, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 600 Green Valley Rd. Ste. 106, Greensboro, NC 27408RIA
CRD#: 134139
Greensboro, NC
Current
September 12, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 600 Green Valley Rd. Ste. 106, Greensboro, NC 27408BD
CRD#: 39543
Greensboro, NC
Past
April 1, 2021 - September 12, 2024
GROVE POINT ADVISORS, LLC
RIA
CRD#: 313171
Greensboro, NC
Past
November 5, 2014 - April 1, 2021
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
Greensboro, NC
Past
December 20, 2002 - September 19, 2024
BASS FINANCIAL STRATEGIES, INC.
RIA
CRD#: 118298
GREENSBORO, NC
Past
March 14, 1997 - September 12, 2024
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
Greensboro, NC
Past
December 13, 1996 - March 18, 1997
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
November 3, 1989 - December 20, 1996
BUCKHEAD FINANCIAL CORPORATION
BD
CRD#: 18398
Past
October 27, 1989 - November 20, 1989
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
December 2, 1987 - November 6, 1989
BERACHAH SECURITIES CORPORATION
BD
CRD#: 16228
Past
January 15, 1987 - December 3, 1987
STONEX SECURITIES INC.
BD
CRD#: 18456
Past
July 17, 1986 - January 19, 1987
PLANVEST CAPITAL CORPORATION
BD
CRD#: 14849
Past
January 20, 1986 - August 12, 1986
PILOT FINANCIAL SERVICES, INC.
BD
CRD#: 7838
Past
December 6, 1978 - January 29, 1986
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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(9/12/2024)
RR
Colorado(9/12/2024)
RR
Connecticut(9/12/2024)
RR
Florida(9/12/2024)
RR
Georgia(9/12/2024)
RR
Hawaii(9/12/2024)
RR
Illinois(9/12/2024)
RR
Louisiana(9/12/2024)
RR
Maryland(9/12/2024)
RR
Massachusetts(9/12/2024)
RR
Minnesota(9/12/2024)
RR
Missouri(9/12/2024)
RR
Nebraska(10/25/2024)
RR
New Jersey(9/12/2024)
RR
New York(9/12/2024)
RR
North Carolina(9/13/2024)
IAR
North Carolina(9/19/2024)
RR
Ohio(9/12/2024)
RR
Pennsylvania(9/12/2024)
RR
South Carolina(9/12/2024)
RR
Tennessee(6/13/2025)
RR
Texas(9/12/2024)
IAR
Texas(9/12/2024)
RR
Vermont(9/12/2024)
RR
Virginia(9/12/2024)
RR
Washington(9/12/2024)
RR
Wisconsin(9/12/2024)
RR
Wyoming(11/5/2024)
Exams
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
RR
Series 1
Date: 11/27/1978
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
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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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Greensboro, NC 27408TRUST BUT VERIFY
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