RS
Richard I. Shaheen
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Sterling Heights, MI
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CRD#: 1506688
RS
Professional summary
Richard Ignatius Shaheen, AIF®, who also goes by Richard I Shaheen, Richard Ignatus Shaheen, Rick Shaheen, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Sterling Heights, Michigan and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Sterling Heights, Michigan.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 6 firms and has passed the Series 63, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard I Shaheen | Richard Ignatus Shaheen | Rick Shaheen
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 - 100 HR/MO - 100/TRADING. 01/19/2017, INVESTMENT ADVISOR REPRESENTATIVE THAT MANAGES CLIENT ASSETS AND PREPARES FINANCIAL PLANS FOR A FEE. 2.B OF I ADVISOR, 4350 LA JOLLA VILLAGE DR, STE 140, SAN DIEGO, CA, 12/2017 SELLING BANKING PRODUCTS TO INDIVIDUALS AND BUSINESSES. INV REL - 2/MO - 0/TRADING. 3.SHAHEEN & ASSOCIATES, INC. 35361 Indigo Dr., Sterling Heights MI 48310, United States, 09/01/1981 40 HR/MO- 40 TRADING HR, President, Insurance/Benefits/Human Resources, INV REL, 40 HR/MO- 40 TRADING HR 4.SHAHEEN & ASSOCIATES, INC. CHAPTER MEMBER, NETWORKING, 129 W. ST. CLAIR ST, ROMEO, MI, NIR 10/01/2011, 12 HR/MO- 0/TRADING HR. NETWORKING GROUP OF BUSINESS OWNERS ASSEMBLING TO SHARE AND NETWORK REFERRALS TO ONE ANOTHER. 5.METROPOLITAN DETROIT CHORALE, Fraser High School, Fraser MI 48026, United States, 09/05/2023, President, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 12 HR/MO - 0 HR/MO TRADING 6.RICK SHAHEEN, 35361 Indigo Dr., Sterling Heights MI 48310, 11/01/2024, Musician, Arts/Performing Arts, NIR, 10 HR/MO, 10 HR/MO TRADING. 7.SHAHEEN & ASSOCIATES, INC., 35361 Indigo Dr., Sterling Heights MI 48310, 10/2024, Vice President, Networking, NIR, 10 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Ignatius Shaheen'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 19, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Sterling Heights, MI
Current
January 19, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Sterling Heights, MI
Past
November 23, 2009 - January 19, 2017
SPC
RIA
CRD#: 110692
ROMEO, MI
Past
March 26, 1992 - January 19, 2017
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ROMEO, MI
Past
April 1, 1987 - February 14, 1992
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
May 14, 1986 - December 5, 1986
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
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
Colorado(10/8/2020)
RR
District of Columbia(2/11/2022)
RR
Massachusetts(6/3/2020)
RR
Michigan(1/19/2017)
IAR
Michigan(1/19/2017)
RR
Oregon(1/19/2017)
RR
Washington(4/22/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/3/1998
Corporate Securities Limited Representative ExaminationGeneral 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.
