Kelly J Cartier

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Market timing

From the firm’s Form ADV. Read the guides:

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-01-03
FL	RA	APPROVED	2009-08-25

TX RA
APPROVED_RES

Since 2018-01-03
FL RA
APPROVED

Since 2009-08-25

Branch Locations

Clermont, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Cambridge Investment Research, Inc	Fairfield	IA	07/2009	Present
Cambridge Investment Research Advisors, Inc	Fairfield	IA	07/2009	Present

07/2009 → Present

Cambridge Investment Research, Inc

Fairfield, IA
07/2009 → Present

Cambridge Investment Research Advisors, Inc

Fairfield, IA

Previous Registrations

2008-01-01 → 2009-07-28

Wells Fargo Clearing Services, Llc

Clermont, FL
1997-10-16 → 2008-01-01

A. G. Edwards & Sons, Inc.

Clermont, FL

St. Louis, MO

Other Businesses

1) CARTIER FINANCIAL LLC, 1320 W LAKESHORE DR CLERMONT FL, 8/2009, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 5/WK- 5/TRADING. 2) RLC INVESTMENT PROPERTIES LLC, 1320 W LAKESHORE DR CLERMONT FL 34711, 5/08 AS PROPERTY MANAGER/OWNER. NIR, 2 HRS/MO 0/TRADE. 3) GREATER CLERMONT CANCER FOUNDATION, PO BOX 443, MINNEOLA, FL, 12/01/2023, BOARD MEMBER, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 5 HRS/MO 1 HR/MO DURING TRADING 4) KELLY CARTIER, 510 W. MONTROSE ST CLERMONT FL 34711, 04/2014 AS PRESIDENT/REP. INV REL, 2 HOURS/MO 2 HR/MO TRADING 5) COMPANIONS FOR COURAGE INC, 400 W WOODWARD AVE EUSTIS FL 32726, 09/2017, SECRETARY, VOLUNTEER, INV REL, 3 HR/MO 0 HR/MO TRADING 6) KELLY CARTIER, 510 W MONTROSE ST CLERMONT FL, BUSINESS CONSULTING, 07/2020, NIR, 20/YR 10/TRADING 7) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL, 15/WK 15/TRADING. 07/24/09 8) KELLY JEAN CARTIER, Clermont FL 34711, 07/2009, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 4 HR/MO - 4 Trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1997-10-17

S63 Uniform Securities Agent State Law Examination

1997-10-17

Designations

Certified Financial Planner

View on SEC IAPD