Haselkorn & Thibaut (investmentfraudlawyers.com), a national securities fraud law firm with over 50 years of experience and a 98% success rate helping investors recover millions, has opened an independent investigation into Brian Abbott, financial advisor from Lawrence, Kansas. If you have concerns about Brian Abbott (CRD# 3222569), formerly with Cambridge Investment Research Advisors and currently with CreativeOne Wealth, or believe you may have suffered investment losses, this report is intended to help you understand the facts, identify any potential red flags, and take the next steps to protecting your financial interests.
Brian Abbott – Professional Overview
Table of Contents
With 26 years of securities industry experience, Brian Abbott is a well-established financial advisor currently registered with CreativeOne Wealth in Lawrence, KS, and Texas. Previously, he worked with Cambridge Investment Research Advisors (2010–2019), as well as Keating Financial Advisory Services and Raymond James Financial Services. He holds Series 7, Series 63, Series 65, and SIE certifications and has an established career as an investment professional.
| Advisor Name | CRD Number | Current Firm | Previous Firm | Location |
|---|---|---|---|---|
| Brian Abbott | 3222569 | CreativeOne Wealth | Cambridge Investment Research Advisors | Lawrence, KS |
Why Did Cambridge Fire Brian Abbott?
One of the most important recent developments in Mr. Abbott’s career involves his termination from Cambridge Investment Research Advisors in October 2025. According to public records, the termination followed an internal investigation for several alleged company policy violations:
- Sale of certain indexed annuities outside of company guidelines
- Use of consolidated reports improperly
- Facilitation of reverse mortgage transactions
- Exceeding firm concentration limits for alternative investments (lack of diversification in client portfolios)
While these are not the same as regulatory findings or customer complaints, they do signal areas where investors should ask questions and seek clarity, especially as it relates to whether their portfolio was managed in accordance with their risk tolerance and investment objectives.
**Over-concentration** (putting too many eggs in one basket) can potentially expose investors to avoidable risk. FINRA recommends regular portfolio reviews and diversification, a practice that mitigates the dangers of too much exposure to any single investment category.
Comprehensive List of Complaints & Regulatory History
- No customer-initiated arbitration claims, settlements, or complaints appear on Brian Abbott’s FINRA BrokerCheck (as of November 16, 2025).
- No disciplinary or regulatory actions by FINRA, the SEC, or state securities agencies were found.
- No criminal or civil charges, federal lawsuits, or SEC enforcement actions are linked to Brian Abbott.
- No administrative proceedings or cease-and-desist orders are on record.
- No complaints reported by the Better Business Bureau or other consumer protection aggregators.
Below is a concise breakdown for your review:
| Complaint/Action Type | Status | Date Checked |
|---|---|---|
| Customer Complaints | None | 11/16/2025 |
| Arbitration Settlements | None | 11/16/2025 |
| Regulatory Actions (FINRA/SEC/States) | None | 11/16/2025 |
| Civil Lawsuits | None | 11/16/2025 |
| Administrative Actions | None | 11/16/2025 |
| Consumer Complaints (BBB, others) | None | 11/16/2025 |
Potential Red Flags for Investors
Although Mr. Abbott does not have any reportable complaints or external disciplinary actions, the circumstances of his departure from Cambridge Investment Research Advisors are notable. Areas such as:
- Improper use of company guidelines for certain sales (indexed annuities, alternative investments)
- Potential over-concentration of client assets in non-traditional investments
- Facilitation of complex products like reverse mortgages
are all signs you should carefully review your own investments, particularly if you are a client or former client of Brian Abbott or Cambridge Investment Research Advisors. If you were sold investments that do not fit your financial profile, or you feel your portfolio may have been concentrated in risky or illiquid products, you should consider getting a free, confidential portfolio review.
How to Protect Your Financial Future
Choosing the right advisor is essential, and part of that process involves regularly evaluating the suitability, diversification, and risk level of your investments. If you have questions about your history with Brian Abbott—especially involving indexed annuities, alternative investments, or high-fee products—now is the right time to get answers from an independent source.
Haselkorn & Thibaut is now investigating potential investor claims related to Brian Abbott of Lawrence, KS, and Cambridge Investment Research Advisors. As a nationwide investor rights law firm, they offer:
- Free and confidential consultations for investors
- No recovery, no fee representation
- Direct access to experienced securities attorneys with a 98% success rate
Your financial peace of mind matters. If you have worked with Brian Abbott or Cambridge Investment Research Advisors, call Haselkorn & Thibaut today at 1-888-994-8066 for your complimentary case review, or visit investmentfraudlawyers.com to learn more.
Taking action is the best way to protect your investments. If you suspect you may have suffered losses or improper management of your portfolio, reach out now and let experienced investor attorneys provide the answers—and the help—you need.
