RE
Richard A. Engberg
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CRD#: 1187594
RE
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.
Richard Allen Engberg JR, who also goes by Richard Allen Engberg, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 2 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Allen Engberg
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)KEYSTONE FINANCIAL SERVICES DIVISION 3761 WESTERRE PARKWAY, STE D RICHMOND, VA 23233 BEGAN 3/1/2012 AS NATIONAL SALES DIRECTOR HELPING AGENTS IN THE SALES OF FIXED LIFE, ACCIDENT AND HEALTH INSURANCE, AND FIXED ANNUITIES. NOT INVESTMENT RELATED. DEVOTES 5 HRS/WK. 3 HRS DURING TRADING. 2)THE CONTRARIAN INVESTOR, 116 TWIN OAKS DR, PITTSBURGH, PA 15237. BEGAN 7/2009 AS AUTHOR. DEVOTES 1 HR/MO-NONE DURING TRADING. 3)SALESMAN FOR PAFF CONTRACTORS, PITTSBURGH, PA, SINCE 4/2015. DEVOTES 16 HR/WK - 8 HR/TRADING. 4.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 4/2012 AS ADVISORY REP OF A RIA. INV REL - 30 HR/WK - 10/TRADING. 5.US RISK MANAGEMENT INC, 4885-A MCKNIGHT RD #409, PITTSBURGH, PA, 1/1995 AS PRESIDENT OF CORP CREATED FOR ADMINISTRATIVE OPERATIONS OF OTHER BUSINESSES OWNED BY REP. NIR - 25 HR/WK - 25/TRADING. 6.US RISK MANAGEMENT INC, 4885-A MCKNIGHT RD #409, PITTSBURGH, PA, 1/1995 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 4/YR - 0/TRADING. 7. PHONE BANK MEMBER FOR JOE BIDEN- MCCANDLES, PA- POLITICAL CAMPAIGN PHONE BANK MEMBER-NIR-2/WK- 0/TRADING
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®
NoneExperience
Past
April 2, 2012 - October 30, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
IRWIN, PA
Past
March 26, 2012 - October 30, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Irwin, PA
Past
August 3, 2007 - February 26, 2010
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
PITTSBURGH, PA
Past
July 18, 1997 - February 26, 2010
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
PITTSBURGH, PA
Past
November 1, 1996 - April 9, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 6, 1995 - November 1, 1995
TRUSTMONT FINANCIAL GROUP, INC.
BD
CRD#: 18312
GREENSBURG, PA
Past
September 9, 1993 - September 2, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 13, 1984 - May 11, 1990
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 2/24/1978
Non-Member General Securities ExaminationCurrent 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.
