Thomas Francis Shay

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
NY	RA	APPROVED	2021-04-19

NY RA
APPROVED

Since 2021-04-19

Branch Locations

1441 Monroe Ave., Rochester, NY 14618 • United States

Charlotte, NC • United States

Disclosures

2 disclosure categories 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 Yes
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	02/2008	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	08/2015	Present

02/2008 → Present

Cambridge Investment Research, Inc

Fairfield, IA
08/2015 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Other Businesses

1. INDEPENDENT INSURANCE AGENT, 350 LINDEN OAKS, ROCHESTER, NY, 2/2008 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/MO - 2/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 0 HRS. SEE EMPLOYMENT HISTORY FOR START DATE. 3. EAGLEVIEW WEALTH ADVISOR LLC, PITTSFORD, NY, 10/2019. SOLE OWNER/PRESIDENT, TO PROVIDE TAX AND LEGAL LIABILITY. INV REL-0/WK-0/TRADING.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1987-04-21

S63 Uniform Securities Agent State Law Examination

1987-04-21

View on SEC IAPD