CM
Clarence G. Mercatoris
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Brookville, PA
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CRD#: 1112371
CM
Professional summary
Clarence Gerald Mercatoris III, who also goes by Clarence Gerald Mercatoris, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Brookville, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Brookville, Pennsylvania.
Clarence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Clarence has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Clarence Gerald Mercatoris
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. CLARENCE G MERCATORIS, III, 305 N. Barnett St., Brookville PA 15825, United States, 05/01/1983, Agent, Insurance/Benefits/Human Resources, NIR, 10 HR/MO - 10 HR/MO TRADING 2. MERC INVESTMENTS, 305 N. Barnett St., Brookville PA 15825, United States, 08/31/2021, Owner, Using a Trade Name / DBA, NIR, 800 HR/MO - 800 HR/MO TRADING 3. COOLSPRING GAS AND OIL, 1464 N. Main St., Punxsutawney PA 15767, United States, 09/01/2010, Owner, 1099, NIR, 0 HR/MO - 0 HR/MO TRADING 4. BURNT HILLS REALTY LLC, 305 N. Barnett St., Brookville PA 15825, United States, 05/01/2005, Member, Hunt Club, NIR, 0 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Clarence Gerald Mercatoris III'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
August 31, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Brookville, PA
Current
August 31, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Brookville, PA
Past
April 25, 2008 - August 31, 2021
ALLEGHENY INVESTMENTS, LTD.
RIA
CRD#: 7597
BROOKVILLE, PA
Past
April 25, 2008 - August 31, 2021
ALLEGHENY INVESTMENTS, LTD.
BD
CRD#: 7597
PITTSBURGH, PA
Past
June 25, 2005 - May 2, 2008
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
DUBOIS, PA
Past
June 25, 2005 - May 2, 2008
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
DUBOIS, PA
Past
April 27, 2005 - June 25, 2005
PARKER/HUNTER INCORPORATED
RIA
CRD#: 7324
DUBOIS, PA
Past
April 20, 1983 - June 25, 2005
PARKER/HUNTER INCORPORATED
BD
CRD#: 7324
PITTSBURGH, PA
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
Colorado(8/31/2021)
RR
Delaware(9/27/2021)
RR
Florida(8/31/2021)
RR
Illinois(8/31/2021)
RR
Indiana(8/31/2021)
RR
Maine(2/17/2022)
RR
Maryland(8/31/2021)
RR
Massachusetts(8/31/2021)
RR
Michigan(8/31/2021)
RR
Missouri(8/31/2021)
RR
New Jersey(8/31/2021)
RR
New York(8/31/2021)
RR
North Carolina(8/31/2021)
RR
North Dakota(7/17/2024)
RR
Ohio(8/31/2021)
RR
Pennsylvania(8/31/2021)
IAR
Pennsylvania(8/31/2021)
RR
South Dakota(8/31/2021)
RR
Texas(8/31/2021)
IAR
Texas(9/1/2021)
RR
Virginia(8/31/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/20/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
