TS
Tom A. Stapel
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Concord Twp, OH 44077
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CRD#: 1054908
TS
Professional summary
Tom Arno Stapel is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Concord Twp, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Concord Twp, Ohio.
Tom is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Tom has worked at 12 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. CIRA, Fairfield IA 52556, 04/07/2023, Investment Advisor Representative, CIRA Affiliation, INV REL, 160 HR/MO - 120 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Tom Arno Stapel'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
April 6, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 11091 Quail Hollow Dr, Concord Twp, OH 44077RIA
CRD#: 134139
Concord Twp, OH
Current
April 6, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 11091 Quail Hollow Dr, Concord Twp, OH 44077BD
CRD#: 39543
Concord Twp, OH
Past
September 3, 2013 - December 31, 2022
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MENTOR, OH
Past
September 3, 2013 - December 31, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MENTOR, OH
Past
January 20, 2011 - January 4, 2023
FINANCIAL MANAGEMENT STRATEGIES, INC.
RIA
CRD#: 120818
BROADVIEW HTS., OH
Past
January 14, 2011 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
MENTOR, OH
Past
October 22, 2010 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
MENTOR, OH
Past
September 15, 2008 - October 28, 2010
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
PAINESVILLE, OH
Past
March 23, 2005 - April 11, 2008
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CLEVELAND, OH
Past
January 28, 2003 - July 30, 2004
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
COLUMBUS, OH
Past
December 17, 1999 - December 7, 2001
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
May 14, 1999 - December 17, 1999
KEY CLEARING CORP.
BD
CRD#: 37595
BROOKLYN, OH
Past
June 19, 1997 - May 14, 1999
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
Past
July 27, 1982 - May 20, 1997
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
IAR
Ohio(4/6/2023)
RR
Ohio(4/7/2023)
Exams
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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Concord Twp, OH 44077TRUST BUT VERIFY
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