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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

Patricia L Smith

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Greenville, SC

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Search this name across graphsid dfx:ria:74572467-bd03-7e10-7f61-2e3f53d8da71

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Sep 5, 2006 to Sep 14, 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: Jun 10, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jun 10, 1996
First registration: Sep 5, 2006
Dual registered: yes, broker-dealer
Other names: TRICIA SMITH|TRISH SMITH|Tricia Smith|Trish Smith|PATRICIA LYNN SMITH
IAPD individual key: 2444251

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	May 9, 2016	n/a	yes	Greenville, SC	Current employment
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Apr 18, 2016	May 10, 2016	no	CHARLOTTE, NC\|GREENVILLE, SC	Previous registration
TRIAD ADVISORS, LLC	Former SEC adviser	Feb 20, 2015	Apr 9, 2015	no	Greenville, SC	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	May 3, 2012	Feb 27, 2013	no	GREENVILLE, SC\|AUSTIN, TX\|CHARLOTTE, NC\|GREENVILLE, SC	Previous registration
FINTRUST INVESTMENT ADVISORY SERVICES, LLC	Former SEC adviser	Apr 13, 2009	May 31, 2012	no	GREENVILLE, SC	Previous registration
GNI CAPITAL INC.	Former SEC adviser	Apr 26, 2007	Apr 7, 2009	no	GREENVILLE, SC	Previous registration
AMERICAN SECURITIES GROUP, INC.	n/a	Sep 5, 2006	May 7, 2007	no	GREENVILLE, SC	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
TRANSAMERICA FINANCIAL ADVISORS, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	May 10, 2016	May 9, 2016	-1	Firm change	Other
TRIAD ADVISORS, LLC	TRANSAMERICA FINANCIAL ADVISORS, LLC	Apr 9, 2015	Apr 18, 2016	375	Firm change	Other
NFP ADVISOR SERVICES, LLC	TRIAD ADVISORS, LLC	Feb 27, 2013	Feb 20, 2015	723	Firm change after gap	Other
FINTRUST INVESTMENT ADVISORY SERVICES, LLC	NFP ADVISOR SERVICES, LLC	May 31, 2012	May 3, 2012	-28	Firm change	Other
GNI CAPITAL INC.	FINTRUST INVESTMENT ADVISORY SERVICES, LLC	Apr 7, 2009	Apr 13, 2009	6	Firm change	Other
AMERICAN SECURITIES GROUP, INC.	GNI CAPITAL INC.	May 7, 2007	Apr 26, 2007	-11	Firm change	Other

Relationships

Registered with (7)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
May 9, 2016 to presentfactForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 18, 2016 to May 10, 2016factForm ADV
→ TRIAD ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 20, 2015 to Apr 9, 2015factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
May 3, 2012 to Feb 27, 2013factForm ADV
→ FINTRUST INVESTMENT ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Apr 13, 2009 to May 31, 2012factForm ADV
→ GNI CAPITAL INC.Registered adviserregistration: previous registration
Apr 26, 2007 to Apr 7, 2009factForm ADV
→ AMERICAN SECURITIES GROUP, INC.Registered adviserregistration: previous registration
Sep 5, 2006 to May 7, 2007factForm ADV

Dated events

No dated event names this entity yet.