Financial Advisor in Fort Myers, FL with 9 Year(s) of Experience
Cambridge Investment Research Advisors
Connecting You to Your Investments:
Invest with confidence, knowing that multiple entities are working toward protecting your financial assets.
You have the freedom to choose to interact with your financial professional through a fee based or commission relationship, or both, based on your financial needs.
A registered representative is licensed to sell securities, provides financial guidance to their clients and is typically paid a commission when you purchase a financial product.
An Investment Advisor Representative (IAR) provides financial guidance to their clients and is generally paid a fee for either managing assets, giving advice, or both.
A broker-dealer facilitates the buying and selling of securities on behalf of the registered representative licensed with the firm and holds responsibility for regulatory compliance and adherence to securities laws.
A Registered Investment Adviser (RIA) processes the fee-based business of IARs licensed with the firm and holds responsibility for regulatory compliance and adherence to securities laws.
Custodian and Clearing Firms
Custodian and Clearing Firms provide the trade execution, clearing, custody and other services for securities and related transactions.
An independent broker-dealer can choose a non-affiliated clearing firm to provide the trade execution, clearing, custody and other related services for clients of their financial professionals. A clearing firm may also be a registered broker-dealer. Clearing relationships are typical throughout the industry and allow your financial professional to focus on helping you achieve your investment goals while taking advantage of the clearing firm's safeguards for the physical protection of your assets.
The Securities Exchange Commission (SEC) is an agency of the U.S. government that oversees the Financial Industry Regulatory Authority (FINRA), which in turn oversees broker-dealers, clearing firms, and your financial professional. Both the SEC and FINRA require members to comply with various rules intended to regulate and oversee the operation of financial markets and the sales practices of financial professionals. Regulators aren't associated with, and do not endorse Cambridge. You can review the regulatory standing of Cambridge and each associated financial professional by visiting FINRA's BrokerCheck.
Firm SEC Form ADV
Firm SEC Form CRS
Bachelor of Science
Duration: 1982 - 1987
Duration: 1993 - 1996
Series 7, Series 66, Life and Disability, Annuities
Advisor SEC/CRD #
Research this Advisor:
Are you a Fiduciary?
Do you receive any commissions or fees based upon financial products that you provide to your clients?Yes
Methods of Compensation
Assets Under Management (AUM), Fee-Based, Subscription
Preferred Client Type
Articles & Blogs
Faith and Familiy, Auto Racing, Fishing, Investing, Reading, Air Shows, Flying, Volunteering, Weight Lifting
Publications Featured In
Important disclosures can be found at: https://www.investingthatmatters.info/disclosures