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CFP
KC
CFP

Kelly Cartier

Cambridge Investment Research Advisors, INC.
28 Years of Experience
Clermont, FL
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Kelly Cartier is a CFP-designated registered investment advisor at Cambridge Investment Research Advisors, INC., based in Clermont, FL, with 28 years of industry experience. Kelly is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3933 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Clermont, FL

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2009
Settled
Customer Dispute
May 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Kelly is an independent insurance agent for various companies since 2009, dedicating a few hours per week to this activity. She also engages in other activities, including property management, serving on various boards, business consulting, and working as an advisory representative of a registered investment advisor.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
August 2009 - Present · 17 yrs 2 mos
Cambridge Investment Research, INC.Broker
July 2009 - Present · 17 yrs 3 mos
Previous Registrations
Wells Fargo Advisors, LLC
January 2008 - July 2009 · 1 yr 6 mos
Wells Fargo Advisors, LLCBroker
January 2008 - July 2009 · 1 yr 6 mos
A. G. Edwards & Sons, INC.
October 1997 - January 2008 · 10 yrs 3 mos
A. G. Edwards & Sons, INC.Broker
October 1997 - January 2008 · 10 yrs 3 mos
State Registrations19 states
CACOFLGAIAIDMAMDMIMNMONCNJNYOHPASCTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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