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Ann Kathryn Pauley

Cambridge Investment Research Advisors, Inc.

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About Ann Kathryn Pauley

Ann Kathryn Pauley is a registered representative with Cambridge Investment Research Advisors, Inc. She has been in the industry since January 28, 2001. Ann is registered in Arizona, Florida, Georgia, Nevada, North Carolina, Ohio, South Carolina, Tennessee, and Virginia. Ann is also an advisory representative for Cambridge Investment Research Inc. She has experience with a variety of financial products and services, including securities, insurance, and financial planning.

Firm Information

Ann Pauley is currently registered with Cambridge Investment Research Advisors, Inc.. Cambridge Investment Research Advisors, Inc. is an investment advisor with over 3,000 licensed agents and registered representatives. Based in Fairfield, Iowa, the firm provides a range of advisory services including financial planning, pension consulting, educational seminars, and market timing services. Their client base encompasses high-net-worth individuals, individuals other than high-net-worth, pension and profit-sharing plans, and state or municipal government entities. The firm manages approximately $87.37 billion in assets under management.
Cambridge Investment Research Advisors, Inc.

1776 PLEASANT PLAIN RD.

FAIRFIELD, IA 52556-8757

$87.37B

Assets Under Management

71,763

Total Clients

3,513

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Solicitation fees from 3rd party money managers

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Ann Pauley’s Registration & Firm History

SC

11/01/2012 - Present

Cambridge Investment Research Advisors, Inc. (COLUMBIA SC)

SC

08/16/2006 - 11/06/2012

WOODBURY FINANCIAL SERVICES, INC. (COLUMBIA SC)

SC

01/29/2001 - 08/25/2006

AXA ADVISORS, LLC (COLUMBIA SC)

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Licenses & Designations

BOTH

Issued 02/21/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/27/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ann Kathryn Pauley.
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