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RIA / WealthAdvisorCertified Financial Planner10 years in industry

Winnie Hui Knapp

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Charlotte, NC | Waxhaw, NC

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Search this name across graphsid dfx:ria:1cf461db-e326-c911-9220-c4975492c9e2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 7, 2017 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Dec 4, 2015
First registration: Mar 7, 2017
Dual registered: no
Other names: Hui Xu
IAPD individual key: 6564992

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Dec 1, 2025	n/a	yes	Waxhaw, NC\|Charlotte, NC	Current employment
TRANSCEND FINANCIAL ADVISORS INC.	n/a	Nov 19, 2018	Dec 31, 2024	no	WAXHAW, NC	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	May 11, 2018	May 24, 2018	no	Charlotte, NC\|Charlotte, NC	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Mar 7, 2017	May 15, 2018	no	CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TRANSCEND FINANCIAL ADVISORS INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Dec 31, 2024	Dec 1, 2025	335	Firm change	Other
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	TRANSCEND FINANCIAL ADVISORS INC.	May 24, 2018	Nov 19, 2018	179	Firm change	Other
PRUCO SECURITIES, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	May 15, 2018	May 11, 2018	-4	Firm change	Ibd to ibd

Relationships

Registered with (3)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
May 11, 2018 to May 24, 2018factForm ADV
→ TRANSCEND FINANCIAL ADVISORS INC.Registered adviserregistration: previous registration
Nov 19, 2018 to Dec 31, 2024factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Mar 7, 2017 to May 15, 2018factForm ADV

Dated events

Occurred
Dec 31, 2024
Advisor changed firm
Winnie Hui Knapp left Transcend Financial Advisors Inc. for Cambridge Investment Research Advisors, Inc. (registered 2025-12-01)
Form ADVobserved 4 days ago