Geoffrey Michael Tomasetti

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	2015-06-02
MD	RA	APPROVED	2015-05-29

TX RA
APPROVED

Since 2015-06-02
MD RA
APPROVED

Since 2015-05-29

Branch Locations

Frederick, MD • United States

1 Bank St. Ste. 100, Gaithersburg, MD 20878 • United States

5301 Buckeystown Pike Ste. 205D, Frederick, MD 21704 • 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	05/2015	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	05/2015	Present

05/2015 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
05/2015 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2009-06-17 → 2015-06-01

Cuna Brokerage Services, Inc.

Frederick, MD

Bethesda, MD

Rockville, MD

Gaithersburg, MD

Bethesda, MD

Gaithersburg, MD

Gaithersburg, MD

Rockville, MD

Washington, DC

Reston, VA
2008-02-11 → 2009-03-05

Banc Of America Investment Services, Inc.

Washington, DC

Washington, DC

Washington, DC

Rockville, MD
2005-09-16 → 2007-12-14

Bb&T Investment Services, Inc.

Charlotte, NC

Bethesda, MD

Bethesda, MD

Bethesda, MD

Charlotte, NC
2004-11-03 → 2005-08-18

Blue Vase Securities, Llc

Rockville, MD
2003-10-31 → 2004-11-04

M&T Securities, Inc.

Cheektowaga, NY
2003-08-26 → 2003-10-20

Ifmg Securities, Inc.

Milford, MA

Other Businesses

1.TOMASETTI WEALTH MANAGEMENT LLC, 14927 CARRY BACK DR, NORTH POTOMAC, MD, 11/2011 AS PRESIDENT OF SECURITIES LLC. INV REL - 40 HR/WK - 7/TRADING. 2.TOMASETTI WEALTH MANAGEMENT LLC dba MONTGOMERY FINANCIAL PARTNERS, 14927 CARRY BACK DR, NORTH POTOMAC, MD, 3/2016 AS PRESIDENT/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 0 HRS. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-08-05
S63	Uniform Securities Agent State Law Examination	1996-05-31

S65 Uniform Investment Adviser Law Examination

2003-08-05
S63 Uniform Securities Agent State Law Examination

1996-05-31

Designations

Chartered Financial Consultant

Other Names

Geoffrey M Tomasetti

View on SEC IAPD