MW
Mark S. Waldman
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
North Chesterfield, VA
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CRD#: 1176523
MW
Professional summary
Mark Steven Waldman, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in North Chesterfield, Virginia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in North Chesterfield, Virginia.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 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)INDEPENDENT INSURANCE AGENT, 501 CHURCH ST NE STE 110, VIENNA, VA, 6/1985 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/MO - 0/TRADING. 2)MARK WALDMAN, 501 CHURCH ST NE #110, VIENNA, VA 22180. BEGAN 2/91 PROVIDING RETIREMENT PLANNING SEMINARS TO FEDERAL AGENCIES. INVESTMENT RELATED. DEVOTES 30 HRS/YR, 30 HRS/YR DURING TRADING. 3)WALDMAN FINANCIAL ADVISERS LLC, 501 CHURCH ST NE STE 110, VIENNA, VA, 5/2008 AS ADVISORY REP OF A RIA. INV REL - 50/WK - 30/TRADING. 4)WALDMAN MANAGEMENT INC 8427 HOLLIS LANE VIENNA, VA 22182. BEGAN 12/01/2011 AS VP/SECRETARY, WHO PROVIDES MANAGMENT SERVICES TO WALDMAN FINANCIAL ADVISERS. NOT INVESMENT RELATED. DEVOTES 10 HRS/WK. NONE DURING TRADING. 5)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING, 03/2008
CRS (Client Relationship Summary) - RIA
Click below to view Mark Steven Waldman'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®
Experience
Current
January 16, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
North Chesterfield, VA
Current
March 3, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
North Chesterfield, VA
Past
January 4, 2024 - January 16, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
North Chesterfield, VA
Past
May 6, 2008 - March 7, 2024
WALDMAN FINANCIAL ADVISERS
RIA
CRD#: 146763
NORTH CHESTERFIELD, VA
Past
March 3, 2008 - May 6, 2008
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
VIENNA, VA
Past
July 9, 1998 - March 4, 2008
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
VIENNA, VA
Past
February 26, 1991 - March 4, 2008
SECURITIES AMERICA, INC.
BD
CRD#: 10205
VIENNA, VA
Past
September 7, 1990 - January 25, 1991
DERAND/PENNINGTON/BASS, INC.
BD
CRD#: 4679
Past
January 26, 1984 - September 5, 1990
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
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(11/30/2010)
RR
California(3/3/2008)
RR
Delaware(3/3/2008)
RR
District of Columbia(3/3/2008)
RR
Florida(3/3/2008)
RR
Georgia(3/3/2008)
RR
Kentucky(4/23/2013)
RR
Maryland(3/3/2008)
RR
Massachusetts(3/3/2008)
RR
New Jersey(3/3/2008)
RR
New York(3/3/2008)
RR
North Carolina(3/3/2008)
RR
Oregon(1/23/2024)
RR
Pennsylvania(3/3/2008)
RR
Puerto Rico(1/10/2024)
RR
Rhode Island(3/11/2013)
RR
South Carolina(3/3/2008)
RR
Tennessee(9/17/2025)
RR
Texas(3/3/2008)
IAR
Texas(1/17/2024)
RR
Virginia(3/3/2008)
IAR
Virginia(1/16/2024)
RR
Washington(3/3/2008)
Exams
State Security Law 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.
