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Detailed Report
WILLIAM THOMAS SAUNDERS
CRD#: 3219295
IA
Investment Adviser
B
Broker
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.CRD#: 134139 2550 GASKINS RD
HENRICO, VA 23238
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 2550 GASKINS RD
HENRICO, VA 23238
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2008 (2 years)2 FIRMS2008 - 2011 (3 years)2 FIRMS2011 - Present (13 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)2003 - 2005 (2 years)BWASHINGTON SQUARE SECURITIES, INC. (CRD# 2882)1999 - 2002 (3 years)IACAPITAL INVESTMENT ADVISORS (CRD# 118269)2004 - 2005 (1 year)IAWASHINGTON SQUARE SECURITIES, INC. (CRD# 2882)2000 - 2002 (2 years)
License(s)

State Registrations

B
Connecticut 11/22/2011
B
Virginia 11/22/2011
B
Florida 11/22/2011
IA
Virginia 11/22/2011
B
Michigan 11/22/2011
B
Washington 11/22/2011
B
South Carolina 11/22/2011

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
2550 GASKINS RD, HENRICO, VA 23238
Glen Allen, VA
Registered with this firm since 11/22/2011
IA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139)
2550 GASKINS RD, HENRICO, VA 23238
Glen Allen, VA
Registered with this firm since 11/22/2011
Previous Registration(s)
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IA
 11/03/2008 - 11/23/2011 SANDERS MORRIS HARRIS INC. (CRD#:20580) RICHMOND, VA
B
 11/03/2008 - 11/23/2011 SANDERS MORRIS HARRIS INC. (CRD#:20580) RICHMOND, VA
IA
 12/06/2005 - 11/03/2008 QA3 FINANCIAL LLC (CRD#:104957) RICHMOND, VA
B
 12/06/2005 - 11/03/2008 QA3 FINANCIAL CORP. (CRD#:14754) RICHMOND, VA
B
 05/07/2003 - 12/08/2005 NATIONAL PLANNING CORPORATION (CRD#:29604) LOS ANGELES, CA
IA
 12/10/2004 - 12/02/2005 CAPITAL INVESTMENT ADVISORS (CRD#:118269) RICHMOND, VA
IA
 06/15/2000 - 12/13/2002 WASHINGTON SQUARE SECURITIES, INC. (CRD#:2882) FREDERICKSBURG, VA
B
 08/16/1999 - 12/13/2002 WASHINGTON SQUARE SECURITIES, INC. (CRD#:2882) WINDSOR, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.