RN
Roy W. Ness
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
GRAND JUNCTION, CO 81507
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CRD#: 1302074
RN
Professional summary
Roy William Ness, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Grand Junction, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Grand Junction, Colorado.
Roy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Roy has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 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)RR, LLC, 145 GRAND AVE., STE A, GRAND JUNCTION, CO 81501. BEGAN 6/23/2009 AS OWNER OF 4,000 SQ. FOOT OFFICE BUILDING THAT HAS 5 UNITS, ONE IS RENTED FOR FINANCIAL SERVICES BUSINESS. NOT INVESTMENT RELATED. DEVOTES 5HR/MO, 0/TRADE. 2)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 10/MO - 5/TRADING. 01/03/11, SEE EMPLOYMENT HISTORY FOR START DATE. 3)OWNER OF RENTAL TOWN HOME, GRAND JUNCTION, CO 81506. BEGAN 01/01/2012. NOT INVESTMENT RELATED. DEVOTES 1 HR/YR. NONE DURING TRADING. 4)Independent Insurance Agent for Various Insurance Companies. 145 Grad Ave Suite A Grand Junction CO 81501. 7/2/1987. Investment related. 12hrs yearly and 0hrs during trading. 5)CAMBRIDGE INVESTMENT RESEARCH, 145 Grand Ave A, Grand Junction CO 81501, United States, 01/03/2011, Financial Professional, DBA Name, NIR, 40 HR/MO - 40 HR/MO TRADING 6)RR, LLC, 145 Grand Ave, Suite A, Grand Junction CO 81501, United States, 06/23/2009, Owner, Real Estate, NIR, 5 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Roy William Ness'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®
CFP®
Start date: 1994
Experience
Current
January 3, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 372 Ridges Blvd, Grand Junction, CO 81507RIA
CRD#: 134139
GRAND JUNCTION, CO
Current
January 3, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 145 Grand Ave Ste A, Grand Junction, CO 81501BD
CRD#: 39543
Grand Junction, CO
Past
August 15, 2008 - January 3, 2011
FINANCIAL WEST GROUP
RIA
CRD#: 16668
GRAND JUNCTION, CO
Past
October 18, 2001 - January 3, 2011
FINANCIAL WEST GROUP
BD
CRD#: 16668
GRAND JUNCTION, CO
Past
January 1, 1992 - October 16, 2001
INTERPACIFIC INVESTORS SERVICES, INC.
BD
CRD#: 4879
SEATTLE, WA
Past
August 1, 1991 - January 2, 1992
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
July 6, 1988 - September 4, 1991
GAF FINANCIAL AND INSURANCE SERVICES
BD
CRD#: 14123
Past
March 9, 1988 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
BD
CRD#: 11028
Past
March 6, 1987 - March 16, 1988
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
Past
February 17, 1987 - April 1, 1987
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
Past
September 24, 1984 - February 18, 1987
AMERICAN FRONTEER FINANCIAL CORPORATION
BD
CRD#: 1398
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(1/3/2011)
RR
Colorado(1/3/2011)
IAR
Colorado(1/3/2011)
RR
Delaware(8/16/2024)
RR
Florida(1/3/2011)
RR
Hawaii(1/2/2018)
RR
Kansas(1/2/2015)
RR
Maryland(1/3/2022)
RR
Michigan(1/3/2011)
RR
Minnesota(4/29/2015)
RR
Nevada(1/2/2020)
RR
New York(1/3/2019)
RR
North Dakota(2/14/2024)
RR
Oklahoma(10/28/2025)
RR
Utah(1/3/2011)
RR
Virginia(1/2/2015)
RR
Wyoming(1/3/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
