RS
Ruth M. Samuels
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CRD#: 1098769
RS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ruth Moy Samuels, CFP®, who also goes by Ruth M Samuels, was a registered financial professional .
Ruth is a previously registered financial professional and started their career in finance in 1983. Ruth had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Investment Planning
Retirement Planning
Tax Planning
Estate Planning
Are you a "fiduciary"?
No
Aliases
Ruth M Samuels
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)RUTH SAMUELS, INDEPENDENT INSURANCE AGENT, 1626 PEARL RD BRUNSWICK, OH,FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 07/03/20. NOT INVESTMENT RELATED,2/YEARLY NO/TRADE.
2)ENROLLED AGENT TAX PREPARATION/ BRUNSWICK OH FOR 250 HOURS YEARLY SINCE 1977
3)1626 PEARD RD INC. 1626 PEARL RD BRUNSWICK, OH 44212. BEGAN 7/15/89 AS OWNER OF AN OFFICE BLDG OWNED BY TWO PEOPLE, THE BLDG IS IN A S CORP AND WE ARE THE ONE TENANTS IN THE BLDG. TOMAS ALBRECHT IS THE OTHER OWNER IN THE BLDG. NOT INVESTMENT RELATED. DEVOTES 1.0 HOURS/MNTH. NONE DURING TRADING.
4)RUTH SAMUELS, 1626 PEARL RD, BRUNSWICK, OH 44212. BEGAN 7/1981 AS SOLE PROPRIETOR OF INSURANCE BUSINESS. DEVOTES 1/4 YEARLY- NONE DURING TRADING.
5)RUTH M. SAMUELS, 1626 PEARL RD, BRUNSWICK, OH 44212 ; BEGAN 11/01/2010 ; AS NOTARY ; NOT INVESTMENT RELATED ; DEVOTES 1 HR/YR ; NONE DURING TRADING HOURS.
6)CIRA, 1776 PLEASANT PLAIN ROAD, FAIRFIELD IA, AS ADVISORY REP OF A RIA. INVESTMENT RELATED 20/WEEK 20/TRADE. SEE EMPLOYMENT HISTORY FOR START DATE.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1989
Experience
Past
September 29, 2011 - December 31, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
BRUNSWICK, OH
Past
September 28, 2011 - December 31, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
BRUNSWICK, OH
Past
January 7, 2005 - October 3, 2011
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
BRUNSWICK, OH
Past
July 12, 2002 - October 3, 2011
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
BRUNSWICK, OH
Past
December 1, 1997 - June 27, 2002
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
May 27, 1993 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
BD
CRD#: 14363
RICHMOND, VA
Past
December 4, 1991 - May 19, 1993
INDEPENDENCE CAPITAL CO., INC.
BD
CRD#: 24723
PARMA, OH
Past
June 8, 1983 - December 6, 1991
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
