RT
Richard H. Tanner
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
South Jordan, UT 84095
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CRD#: 1033934
RT
Professional summary
Richard H Tanner, who also goes by Ric Tanner, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in South Jordan, Utah and CAMBRIDGE INVESTMENT RESEARCH, INC. located in South Jordan, Utah.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Richard has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ric Tanner
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) MORETON BUSINESS SOLUTIONS, 709 E SOUTH TEMPLE, SALT LAKE CITY, UT, 4/2011 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 20 HR/WK - 20/TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 30 HR/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3) EXIT IQ, LLC, CEO, 101 SOUTH 200 EAST STE 300, SALT LAKE CITY, UT, 11/03/20, NIR, CEO, 80 HR/MONTH- 80 HR/MONTH TRADING. CEO AND RESPONSIBLE FOR ALL BUSINESS ACTIVITIES INCLUDING BUSINESS EXIT AND SUCCESSION. 4) WEALTH IQ ADVISORS, 10757 South Jordan Parkway Suite 325, South Jordan UT 84020, United States, 09/20/2025, Owner, DBA Name, INV REL, 8 HR/MO - 8 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Richard H Tanner's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 12, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 10757 S River Front Pkwy. Ste. 325, South Jordan, UT 84095RIA
CRD#: 134139
South Jordan, UT
Current
July 1, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 10757 S River Front Pkwy Ste. 325, South Jordan, UT 84095BD
CRD#: 39543
South Jordan, UT
Past
March 8, 2005 - July 5, 2011
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SALT LAKE CITY, UT
Past
March 8, 2005 - July 5, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SALT LAKE CITY, UT
Past
January 25, 2005 - July 12, 2011
MORETON ASSET MANAGEMENT, LLC
RIA
CRD#: 133417
SALT LAKE CITY, UT
Past
January 7, 2005 - March 7, 2005
MORETON CAPITAL MARKETS, LLC
BD
CRD#: 132643
SALT LAKE CITY, UT
Past
October 12, 2001 - January 31, 2002
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
July 1, 1999 - October 12, 2001
WELLS FARGO SECURITIES, LLC
BD
CRD#: 7665
SAN FRANCISCO, CA
Past
September 15, 1998 - July 1, 1999
FIRST SECURITY INVESTOR SERVICES, INC.
BD
CRD#: 15515
SALT LAKE CITY, UT
Past
June 26, 1991 - September 29, 1997
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
Past
February 15, 1989 - June 28, 1991
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
February 9, 1989 - February 22, 1989
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
Past
June 17, 1985 - January 16, 1989
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
Past
March 16, 1982 - August 13, 1985
CITISTREET EQUITIES LLC
BD
CRD#: 7447
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/29/2021)
RR
Colorado(7/1/2011)
RR
Idaho(7/1/2011)
RR
Utah(7/1/2011)
IAR
Utah(7/12/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
