Hickory, NC Southgate Corp Park Office

Team
Updated today
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Cambridge Investment Research Advisors

Institution

Firm-wide stats for Cambridge Investment Research Advisors

Total advisors

3,907

Across 2,196 offices

Clients per advisor

91 Typical

Avg AUM per client

$378,281 Low

HNW client ratio

13% Typical

About

Cambridge Investment Research Advisors, Inc. serves a broad mix of individual and institutional clients — including pension and charitable organization clients — by providing financial planning, ongoing investment management, retirement-plan advisory, and wrap-fee programs. The firm operates through thousands of Financial Professionals and manages a multi‑billion dollar asset base while offering account implementation across multiple platforms and custodians.

The firm supports both discretionary and non‑discretionary management via platforms described in the brochure (CMAP, FlexMAP and the WealthPort wrap program), offers access to unaffiliated third‑party advisers and sub‑advisors, and maintains proprietary model strategies under the Founders Gate Capital brand. The brochure also notes some Financial Professionals offer tactical services such as market‑timing strategies and that a subset of advisers maintain outside professional practices (including accounting and legal services) and may refer clients to those practices.

Notable distinctions in the brochure include the firm’s development and distribution of affiliated model strategies (Founders Gate Capital), with disclosed strategist fees and related conflict‑of‑interest procedures, and detailed governance around platform and third‑party relationships. The brochure also discloses recent regulatory matters — including an SEC consent with restitution and penalties totaling approximately $13.2 million (2025) and a Delaware consent order with penalties and restitution of about $1.05 million (2026) — and describes supervisory and procedural changes the firm has put in place.

Based on Cambridge Investment Research Advisors

Expertise

Annuities Retirement plans for business owners (SEP, solo 401k)

Based on Cambridge Investment Research Advisors

Location

1155 Southgate Corp Park

Hickory NC 28601

Advisors at this office

4

Advisors at this office

user avatar

Steven S

Series 66

Hickory, NC

Cambridge Investment Research Advisors

Steven Sparks is a financial advisor with Cambridge Investment Research Advisors, holding a Series 66 designation and 26 years of industry experience. He has worked with Cambridge Investment Research Advisors and associated entities since 2016 and has been affiliated with Capital Concepts since 2004. Sparks serves as a board member of Hickory Christian Academy. Cambridge Investment Research Advisors serves a diverse client base including individual and institutional investors such as pension and charitable organizations. The firm offers financial planning, investment management, retirement-plan advisory, and wrap-fee programs through a network of thousands of financial professionals managing a multi‑billion dollar asset base across multiple platforms and custodians.

Annuities Retirement plans for business owners (SEP, solo 401k)
user avatar

Henry T

Series 63, Series 65

Hickory, NC

Cambridge Investment Research Advisors

Henry Thompson IV is a financial advisor with Cambridge Investment Research Advisors, holding Series 63 and Series 65 credentials and with 26 years of industry experience. He has been with Cambridge Investment Research Advisors since 2016 and also maintains a long-term association with Capital Concepts that dates back to 2004. Outside of his advisory work, he serves on the boards of the YMCA of Catawba Valley Soccer Club and SALT Block, and is a trustee of the Uncle Larry Fund private foundation. Cambridge Investment Research Advisors serves a broad mix of individual and institutional clients, including pension and charitable organizations, by providing financial planning, ongoing investment management, retirement-plan advisory, and wrap-fee programs through a large network of financial professionals and multiple investment platforms.

Annuities Retirement plans for business owners (SEP, solo 401k)
user avatar

Charles R

ChFC®, Series 63, Series 65

Hickory, NC

Cambridge Investment Research Advisors

Charles Rogers Jr. is a financial advisor with Cambridge Investment Research Advisors, holding the ChFC® designation and Series 63 and 65 licenses. He has 28 years of industry experience and has been with Cambridge Investment Research Advisors since 2016. He also has a long-standing involvement with Capital Concepts and Capital Concepts Properties, LLC. Additionally, he has worked as an independent insurance agent for various companies. Cambridge Investment Research Advisors serves a diverse client base including individual and institutional clients such as pension and charitable organizations. The firm provides financial planning, investment management, retirement-plan advisory, and wrap-fee programs through a large network of financial professionals and manages a multi-billion dollar asset base across multiple platforms.

Annuities Retirement plans for business owners (SEP, solo 401k)
user avatar

Alexander J

Series 66

Hickory, NC

Cambridge Investment Research Advisors

Alexander Johnson is a financial advisor with Cambridge Investment Research Advisors in Hickory, NC, holding a Series 66 designation and six years of industry experience. He has been with Cambridge Investment Research Advisors since 2020 and concurrently affiliated with Cambridge Investment Research, Inc. and Capital Concepts since 2019. Outside of his advisory work, he is the founder and host of a podcast through BGP LLC. Cambridge Investment Research Advisors serves a diverse range of individual and institutional clients, including pension and charitable organizations, by providing financial planning, investment management, retirement-plan advisory, and wrap-fee programs. The firm supports both discretionary and non-discretionary management and offers proprietary model strategies under the Founders Gate Capital brand.

Annuities Retirement plans for business owners (SEP, solo 401k)
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