Ann Marie Box | Financial Professional

Professional summary

Ann Marie Box was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ann is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Ann had worked at 12 firms, which includes CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., OSAIC WEALTH INC., SECURITIES AMERICA ADVISORS INC., SECURITIES AMERICA INC., INVESTMENT PROFESSIONALS INC., CUSO FINANCIAL SERVICES L.P., MCNALLY FINANCIAL SERVICES CORPORATION, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, EDWARD JONES, NATIONWIDE INVESTMENT SERVICES CORPORATION, WADDELL & REED.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Ann Joiner

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 31, 2020 - February 16, 2022

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

San Antonio, TX

Past

August 31, 2020 - February 16, 2022

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

Dallas, TX

Past

December 23, 2019 - September 2, 2020

OSAIC WEALTH, INC.

RIA

CRD#: 23131

DALLAS, TX

Past

December 23, 2019 - September 2, 2020

OSAIC WEALTH, INC.

BD

CRD#: 23131

DALLAS, TX

Past

April 21, 2017 - December 26, 2019

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

Plano, TX

Past

April 21, 2017 - December 26, 2019

SECURITIES AMERICA, INC.

BD

CRD#: 10205

Plano, TX

Past

October 22, 2010 - May 1, 2017

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

KIRBY, TX

Past

October 22, 2010 - May 1, 2017

INVESTMENT PROFESSIONALS, INC.

BD

CRD#: 30184

KIRBY, TX

Past

February 10, 2006 - October 26, 2010

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

SAN ANTONIO, TX

Past

February 10, 2006 - October 26, 2010

CUSO FINANCIAL SERVICES, L.P.

BD

CRD#: 42132

SAN ANTONIO, TX

Past

February 3, 2005 - February 9, 2006

MCNALLY FINANCIAL SERVICES CORPORATION

BD

CRD#: 121196

SAN ANTONIO, TX

Past

March 11, 2003 - February 4, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN ANTONIO, TX

Past

February 26, 2003 - February 4, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

NEW YORK, NY

Past

June 14, 2000 - February 11, 2003

EDWARD JONES

BD

CRD#: 250

ST. LOUIS, MO

Past

July 27, 1999 - June 21, 2000

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD

CRD#: 7110

COLUMBUS, OH

Past

December 19, 1995 - July 26, 1999

WADDELL & REED

BD

CRD#: 866

OVERLAND PARK, KS

Past

May 7, 1987 - January 2, 1992

WADDELL & REED

BD

CRD#: 866

OVERLAND PARK, KS

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.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 3/6/2003

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 12/18/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 31

Date: 10/28/2004

Futures Managed Funds Examination

General Industry/Product Exam

RR

Series 7

Date: 3/14/2000

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 12/18/1995

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

RR

Series 22

Date: 6/23/1987

Direct Participation Programs Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ann M. Box

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

MCNALLY FINANCIAL SERVICES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

NATIONWIDE INVESTMENT SERVICES CORPORATION

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/6/2003

Series 63

Date: 12/18/1995

Series 22TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 10/28/2004

Series 7

Date: 3/14/2000

Series 6

Date: 12/18/1995

Series 22

Date: 6/23/1987

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

Similar Advisors