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RONALD FAIR PAULL III
CRD#: 2968273
IA
Investment Adviser
B
Broker
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.CRD#: 134139 13 Walzer Lane
Scott Twp., PA 18433
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 13 Walzer Lane
Scott Twp, PA 18433
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2008 (3 years)2 FIRMS2008 - 2012 (3 years)2 FIRMS2015 - Present (9 years)BLPL FINANCIAL LLC (CRD# 6413)2012 - 2015 (3 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2001 - 2005 (4 years)BFRANKLIN FINANCIAL SERVICES CO... (CRD# 5435)1997 - 2001 (3 years)IAADVANTAGE INVESTMENT MANAGEMEN... (CRD# 146236)2010 - 2015 (4 years)IASUNAMERICA SECURITIES, INC. (CRD# 20068)2003 - 2005 (1 year)
Disclosure(s)
View By:
2/16/2024
Customer Dispute
Pending
6/9/2022
Customer Dispute
Settled
1/31/2018
Regulatory
Final
12/8/2016
Regulatory
Final
12/15/2015
Financial
Final
8/6/2015
Employment Separation After Allegations
11/5/2014
Customer Dispute
Denied
9/23/2014
Customer Dispute
Denied
5/8/2014
Customer Dispute
Settled
4/23/2013
Customer Dispute
Denied
4/1/2009
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alaska 10/26/2015

B
Pennsylvania 9/10/2015

B
Florida 10/6/2015

IA
Pennsylvania 9/11/2015

B
Illinois 3/4/2016

B
South Carolina 9/10/2015

B
New Jersey 11/9/2015

B
Texas 9/10/2015

B
New York 9/10/2015

IA
Texas 9/10/2015

B
North Carolina 1/8/2016

B
Virginia 1/18/2018

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139)
13 Walzer Lane, Scott Twp., PA 18433
Registered with this firm since 9/10/2015

B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
13 Walzer Lane, Scott Twp, PA 18433
Registered with this firm since 9/10/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
B
07/31/2012 - 08/14/2015 LPL FINANCIAL LLC (CRD#:6413) OLYPHANT, PA
IA
11/08/2010 - 08/07/2015 ADVANTAGE INVESTMENT MANAGEMENT, LLC (CRD#:146236) OLYPHANT, PA
IA
12/15/2008 - 07/31/2012 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) OLYPHANT, PA
B
12/15/2008 - 07/31/2012 NATIONAL PLANNING CORPORATION (CRD#:29604) OLYPHANT, PA
IA
10/31/2005 - 12/17/2008 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) OLYPHANT, PA
B
10/31/2005 - 12/17/2008 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) OLYPHANT, PA
IA
11/20/2003 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) CLARKS SUMMIT, PA
B
03/12/2001 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
11/06/1997 - 03/14/2001 FRANKLIN FINANCIAL SERVICES CORPORATION (CRD#:5435) HOUSTON, TX
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.