WW
Warren S. Wernick
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Beachwood, OH 44122
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CRD#: 1684550
WW
Professional summary
Warren Samuel Wernick is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Beachwood, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Beachwood, Ohio.
Warren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Warren has worked at 6 firms and has passed the Series 66, 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) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 2) CHAGRIN VALLEY BUSINESS STRATEGIES LLC, 3401 ENTERPRISE PKWY, SUITE 220, BEACHWOOD, OH, 09/2023, PARTNER, CONSULTING, NIR, 8 HR/MO, 0 HR/MO TRADING. 3) DAVID ZELMAN, 08/2023, TRUST PROTECTOR, POSITION OF TRUST, NIR, 0 HR/MO - 0 HR/MO TRADING. 4) WERNICK SPEAR WEALTH MANAGERS, 3401 Enterprise Pkwy Ste 220, Enterprise Place, Beachwood OH 44122, United States, 07/12/2019, IAR, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Warren Samuel Wernick'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 2, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: Enterprise Place 3401 Enterprise Pkwy Ste 220, Beachwood, OH, 44122RIA
CRD#: 134139
Beachwood, OH
Current
July 2, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: Enterprise Place 3401 Enterprise Pkwy Ste 220, Beachwood, OH, 44122BD
CRD#: 39543
Beachwood, OH
Past
February 26, 2010 - July 10, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PEPPER PIKE, OH
Past
February 26, 2010 - July 10, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PEPPER PIKE, OH
Past
December 7, 1999 - March 2, 2010
NCA FINANCIAL PLANNERS
RIA
CRD#: 120086
MAYFIELD HEIGHTS, OH
Past
August 19, 1999 - March 4, 2010
OSAIC WEALTH, INC.
RIA
CRD#: 23131
MAYFIELD HTS, OH
Past
November 19, 1989 - March 4, 2010
OSAIC WEALTH, INC.
BD
CRD#: 23131
MAYFIELD HTS, OH
Past
July 22, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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
California(7/2/2019)
RR
Florida(7/2/2019)
RR
Indiana(7/15/2019)
RR
Louisiana(7/2/2019)
RR
Maine(5/12/2025)
RR
Michigan(7/2/2019)
RR
Mississippi(7/2/2019)
RR
Montana(9/20/2019)
RR
North Carolina(7/2/2019)
RR
Ohio(7/2/2019)
IAR
Ohio(7/12/2019)
RR
Pennsylvania(7/2/2019)
RR
Texas(7/2/2019)
IAR
Texas(7/2/2019)
RR
West Virginia(8/3/2020)
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
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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.
