Robert Hallie Stock | Financial Professional

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.

Robert Hallie Stock, who also goes by Bob Stock, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Bob Stock

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.INTEGRITY FINANCIAL GROUP, 19111 DETROIT RD STE 301, ROCKY RIVER, OH, 10/1996 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 4/MO - 4/TRADING. 2.NOTARY, 19111 DETROIT RD STE 301, ROCKY RIVER, OH, 12/2006. NIR - 1HR/MO - 1HR/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 4.THE OHIO STATE UNIVERSITY ALUMNI CLUB OF GREATER CLEVELAND, Longaberger Alumni House, 2200 Olentangy River Road, Columbus OH 43210, 08/2023, Board Member, Volunteer, NIR, 10 HR/MO - 3 HR/MO TRADING. 5. NETTWORTH FINANCIAL GROUP, 19111 Detroit Road, Suite 301, Rocky River OH 44116, United States, 10/01/2019, DBA, Using a Trade Name/dba, NIR, 10 HR/MO - 5 HR/MO TRADING

Blog Corner

CRS (Client Relationship Summary)

NEW ENGLAND SECURITIES

BD

CRD#: 615

NEW YORK, NY

Past

May 21, 1987 - February 17, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

MINNEAPOLIS, MN

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.

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

General Securities Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

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	Cover Page	Report
04/29/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Robert H. Stock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

CETERA WEALTH SERVICES, LLC

EQUITY SERVICES, INC.

LOCUST STREET SECURITIES, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

NEW ENGLAND SECURITIES

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/26/1988

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1987

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

TRUST BUT VERIFY

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