LV
Lesley M. Vanborssum
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Tuscon, AZ
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CRD#: 1430557
LV
Professional summary
Lesley Marshall Vanborssum, who also goes by Lesley Marshall Ledgerwood, Lesley Sue Marshall, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Tuscon, Arizona and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Phoenix, Arizona.
Lesley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Lesley has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lesley Marshall Ledgerwood | Lesley Sue Marshall
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) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-40/WK-30/TRADING.07/24/17, SEE EMPLOYMENT FOR START DATE. 2) Uncle Biffs Cookies 6239 n 7th Street STE 100, Phoenix, AZ 85014. 10/02/2017. Loan Guarantor for Construction Build out. Not investment related, 4/monthly, 0/trading
CRS (Client Relationship Summary) - RIA
Click below to view Lesley Marshall Vanborssum'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
July 24, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 33 W Missouri Ave., Phoenix, AZ 85013RIA
CRD#: 134139
Tuscon, AZ
Current
July 24, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 33 W Missouri Ave., Phoenix, AZ 85013BD
CRD#: 39543
Phoenix, AZ
Past
October 17, 2016 - July 28, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Phoenix, AZ
Past
October 14, 2016 - July 28, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Phoenix, AZ
Past
October 16, 2007 - October 18, 2016
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
TUCSON, AZ
Past
October 4, 2007 - October 18, 2016
OPPENHEIMER & CO. INC.
BD
CRD#: 249
SCOTTSDALE, AZ
Past
February 8, 2007 - October 8, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
TUCSON, AZ
Past
June 3, 2005 - October 8, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
TUCSON, AZ
Past
February 22, 1994 - June 7, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TUCSON, AZ
Past
February 22, 1994 - June 7, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 22, 1993 - February 25, 1994
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
November 6, 1989 - March 18, 1993
CROWELL, WEEDON & CO.
BD
CRD#: 193
LOS ANGELES, CA
Past
December 3, 1985 - November 11, 1989
THOMAS GREEN SECURITIES, INC.
BD
CRD#: 571
LOS ANGELES, 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.
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(7/24/2017)
IAR
Arizona(7/24/2017)
RR
California(7/24/2017)
RR
Colorado(7/24/2017)
RR
Florida(7/24/2017)
RR
Idaho(5/10/2022)
RR
Illinois(7/26/2017)
RR
Indiana(12/18/2018)
RR
Iowa(11/18/2020)
RR
Kansas(7/24/2017)
RR
Michigan(7/24/2017)
RR
Nevada(1/23/2025)
RR
New Jersey(7/24/2017)
RR
New Mexico(7/24/2017)
RR
New York(7/24/2017)
RR
Oklahoma(7/24/2017)
RR
South Carolina(7/25/2017)
RR
Texas(7/24/2017)
IAR
Texas(7/24/2017)
RR
Virginia(7/24/2017)
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
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.
