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Laurence Tipton

Cambridge Investment Research Advisors, INC.
26 Years of Experience
Birmingham, AL
1 DisclosureBrokerSells Insurance
View SEC Summary
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Laurence Tipton is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in Birmingham, AL, with 26 years of industry experience. Laurence 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
3940 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

100 Centerview Drive, Suite 249, Birmingham, AL, 35216

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History

Regulatory History (1)
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
August 2014
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Laurence is an independent insurance agent for various companies, dedicating a few hours per week to this activity. He is also the president of Tipton Advisory Group, an advisory representative of CIRA, and an IAR for Prosper Financial Planning, spending nearly full-time hours on these investment-related roles.

Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
February 2024 - Present · 2 yrs 8 mos
Cambridge Investment Research Advisors, INC.
February 2024 - Present · 2 yrs 8 mos
Previous Registrations
Capital Investment Advisory Services, LLC
September 2020 - February 2024 · 3 yrs 5 mos
Capital Investment Group, INC.Broker
September 2020 - February 2024 · 3 yrs 5 mos
Wells Fargo Clearing Services, LLC
October 2017 - September 2020 · 2 yrs 11 mos
Wells Fargo Clearing Services, LLCBroker
September 2017 - September 2020 · 3 yrs
Wells Fargo Clearing Services, LLC
September 2017 - October 2017 · 1 mo
Cetera Advisors LLC
April 2015 - October 2017 · 2 yrs 6 mos
Cetera Advisors LLCBroker
March 2015 - October 2017 · 2 yrs 7 mos
Capital Investment Advisory Services, LLC
February 2013 - April 2015 · 2 yrs 2 mos
Cic Advisers, LLC
August 2011 - December 2012 · 1 yr 4 mos
Capital Investment Group, INC.Broker
March 2011 - April 2015 · 4 yrs 1 mo
W. R. Taylor & Company, LLCBroker
March 2006 - March 2011 · 5 yrs
W.R. Taylor & Company, LLC
March 2006 - March 2011 · 5 yrs
UBS Financial Services INC.
February 2003 - March 2006 · 3 yrs 1 mo
UBS Financial Services INC.Broker
February 2003 - March 2006 · 3 yrs 1 mo
Morgan Stanley
April 2001 - February 2003 · 1 yr 10 mos
Morgan Stanley Dw INC.Broker
July 2000 - February 2003 · 2 yrs 7 mos
State Registrations5 states
ALARFLGAOK
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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