RS
Rocco J. Scarsella
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Fairfield, OH 44224
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CRD#: 1280846
RS
Professional summary
Rocco Joseph Scarsella, who also goes by Rocky Scarsella, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Fairfield, Ohio and THE FINANCIAL CENTER, LLC located in Livonia, Michigan.
Rocco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Rocco has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rocky Scarsella
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) NICTON INC, 32003 PLYMOUTH RD, LIVONIA, MI 48150. BEGAN 1/2/94 AS PRESIDENT OF ENTITY THAT OWNS OFFICE BUILDING. DEVOTES 2 HRS/MNTH, NONE DURING TRADING. 2) CONTINUITY PARTNERS GROUP, LLC, 1776 PLEASANT PLAIN RD., FAIRFIELD, IA 52556. BEGAN 1/1/2010 AS AN ADVISORY BOARD MEMEBER OF CONTINITY PARTNERS GROUP. CPG IS A COMPANY WITHIN THE CAMBRIDGE INVESTMENT GROUP PROVIDING SUCCESSION PROTECTION, CONTINUITY PLANNING, ACQUISITION AND BUSINESS STRATEGY FINANCING AND BUSINESS CONSULTING SERVICES TO REP/ADVISORS OF CAMBRIDGE INVESTMENT RESEARCH, INC. THAT ARE ALSO MEMBERS OF CONTINUITY PARTNERS GROUP. INVESTMENT RELATED. DEVOTES 6HR/YR, 0/TRADE. 3) UMBERTO LLC; NOT INVESTMENT RELATED; 17211 FAIRFIELD LIVONIA, MI 48152; REAL ESTATE RENTAL; OWNER; BEGAN 1/2/2014; 6 HOURS/YEAR, NONE DURING TRADING HOURS; THIS LLC HOLDS THE TITLE TO MY INTEREST IN A PIECE OF REAL ESTATE WHICH IS FARM LAND. THERE IS RENTAL INCOME THAT IS PRODUCED BY LEASING THE LAND FOR FARMING AND HOUSE THAT IS TREATED AS A RENTAL. 10/28/14 UPDATED INFORMATION: THE OTHER 50% OF THE PROPERTY IS OWNED BY DONATO PELINO WHO IS NOT A CLIENT AND A LONG TIME FAMILY FRIEND WHO HAS HELD HIS INTEREST IN THE PROPERTY SINCE THE PURCHASE BACK IN 1975; 4) RWS MAIN STREET LLC. LIVONIA, MI. STARTED 11/2014 AS OWNER. OWNERSHIP OF COMMERCIAL REAL ESTATE WHICH WILL BE DEVELOPED INTO ANOTHER LOCATION FOR RWS. SPENDS 10 HR/MO, NONE DURING TRADING. 5) RWS FINANCIAL GROUP, 28555 Orchard Lake Rd, Suite 100, Farmington Hills MI 48334, Owner, establishing HSA Accounts for future trading, 09/2015, INV REL, 1 HR/MO - 0 HR/MO TRADING. 6) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 7) TAX SOLUTIONS CENTER LLC, 32003 PLYMOUTH RD, LIVONIA, MI, 11/2019. MANAGING MEMBER, TAX PLANNING AND TAX PREPARATION SERVICES. NIR-4/MO-0/TRADING. 8) RWS BUSINESS CONSULTING, 32003 PLYMOUTH RD, LIVONIA, MI, BUSINESS CONSULTING VICE PRESIDENT, 08/17/18, NIR, 10/WK- 5/TRADING7 9) RWS LOUMOS LLC, 28555 Orchard Lake Road, Suite 100, Farmington Hills MI 48334, United States, 12/08/2022, Owner, Real Estate, NIR, 0 HR/MO - 0 HR/MO TRADING 10) RWS CYPRESS LLC, 28555 Orchard Lake Road, Suite #100, Farmington Hills, MI 48334, United States, 12/08/2022, Owner, Real Estate, NIR, 0 HR/MO - 0 HR/MO TRADING 11) RWS PLAINFIELD LLC, 28555 Orchard Lake Road, Suite #100, Farmington Hills, MI 48334, United States, 12/08/2022, NIR, 0 HR/MO - 0 HR/MO TRADING 12) RWS FORTUNE LLC, 28555 ORCHARD LAKE ROAD SUITE #100 FARMINGTON HILLS MI 48334, 01/2023, OWNER, REAL ESTATE, NIR, 0 HR/MO 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Rocco Joseph Scarsella'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
October 5, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 3749 Fishcreek Rd. Suite A, Fairfield, OH 44224Office #2: 24 Frank Lloyd Wright Dr. Lobby K, Suite J4200, Ann Arbor, MI 48106Office #3: 28555 Orchard Lake Road, Suite 100, Farmington Hills, MI 48334Office #4: 1108 Bridge Street Unit B, Charlevoix, MI 49720RIA
CRD#: 134139
Fairfield, OH
Current
November 16, 2015 - Present
THE FINANCIAL CENTER, LLC
Office #1: 32003 Plymouth Rd, Livonia, MI 48150RIA
CRD#: 123393
Livonia, MI
Current
August 22, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 24 Frank Lloyd Wright Dr. Lobby K, Suite J4200, Ann Arbor, MI 48106Office #2: 28555 Orchard Lake Road, Suite 100, Farmington Hills, MI 48334Office #3: 3749 Fishcreek Rd Suite A, Stow, OH 44224Office #4: 1108 Bridge Street Unit B, Charlevoix, MI 49720Office #5: 6011 Durand Ave. Suite 100, Mount Pleasant, WI 53406BD
CRD#: 39543
Ann Arbor, MI
Past
January 1, 2004 - August 29, 2008
CETERA ADVISORS LLC
BD
CRD#: 10299
LIVONIA, MI
Past
May 21, 2003 - December 31, 2003
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
June 25, 1999 - March 1, 2000
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
March 20, 1991 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
June 7, 1990 - May 8, 1991
FIRST FINANCIAL MONETARY SYSTEMS, INC.
BD
CRD#: 13541
Past
September 12, 1989 - May 24, 1990
USA FINANCIAL GROUP, INC.
BD
CRD#: 17819
Past
July 9, 1984 - September 20, 1989
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
Alabama(8/22/2008)
RR
Alaska(9/12/2019)
RR
Arizona(8/22/2008)
RR
Arkansas(1/8/2019)
RR
California(8/22/2008)
RR
Colorado(8/22/2008)
RR
Connecticut(1/5/2010)
RR
Delaware(1/3/2019)
RR
District of Columbia(10/19/2009)
RR
Florida(9/2/2008)
RR
Georgia(1/6/2010)
RR
Hawaii(10/26/2016)
RR
Idaho(1/5/2016)
RR
Illinois(8/25/2008)
RR
Indiana(9/2/2008)
RR
Iowa(10/21/2013)
RR
Kansas(8/22/2008)
RR
Kentucky(8/22/2008)
RR
Louisiana(8/22/2008)
RR
Maine(6/25/2015)
RR
Maryland(8/22/2008)
RR
Massachusetts(8/22/2008)
RR
Michigan(8/22/2008)
IAR
Michigan(10/5/2010)
RR
Minnesota(8/22/2008)
RR
Mississippi(6/20/2014)
RR
Missouri(8/22/2008)
RR
Montana(4/22/2013)
RR
Nebraska(8/22/2008)
RR
Nevada(10/18/2011)
RR
New Hampshire(8/7/2020)
RR
New Jersey(8/22/2008)
RR
New Mexico(8/22/2008)
RR
New York(8/22/2008)
RR
North Carolina(8/22/2008)
RR
North Dakota(1/28/2013)
RR
Ohio(8/22/2008)
RR
Oklahoma(7/2/2014)
RR
Oregon(8/22/2008)
RR
Pennsylvania(8/22/2008)
RR
Rhode Island(2/1/2023)
RR
South Carolina(8/25/2008)
RR
South Dakota(7/27/2022)
RR
Tennessee(8/22/2008)
RR
Texas(8/22/2008)
IAR
Texas(8/18/2016)
RR
Utah(7/12/2010)
RR
Vermont(12/12/2016)
RR
Virginia(8/22/2008)
RR
Washington(8/22/2008)
RR
West Virginia(1/5/2010)
RR
Wisconsin(8/22/2008)
RR
Wyoming(1/9/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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#: 134139Fairfield, OH 44224TRUST BUT VERIFY
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