Adam UdyCRD Number: 3082327
Current Firm: Cambridge Investment Research Advisors, Inc.
Adam Udy (CRD# 3082327) is an Investment Advisor Representative working at Cambridge Investment Research Advisors, Inc. in Las Vegas, NV and has over 19 years of experience in the finance industry. Adam Udy has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Kingsbridge Wealth Management, Inc.
The Investment Counsel Company
Hornor, Townsend & Kent, Inc.
|Cambridge Investment Research Advisors, Inc.||Fairfield, IA||Dec 2015 - Current||2|
|Cambridge Investment Research, Inc.||Fairfield, IA||Dec 2015 - Current||2|
|Tricor Financial, LLC||Las Vegas, NV||Jan 2011 - Dec 2015||4|
|Tricor Advisory Services, LLC||Las Vegas, NV||Jan 2011 - Dec 2015||4|
|Ubs Financial Services Inc.||Las Vegas, NV||May 2006 - Jan 2011||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1998|
|S66||NASAA Uniform Combined State Law Examination||Mar 2000|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Customer Dispute
Total Assets Under Management25,187MILLIONS
Total Number of Accounts152,412ACCOUNTS
Average Account Value$165,257
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Market timing services
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV