Francis S. Wershing
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Rochester, NY 14618
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CRD#: 1746392
Professional summary
Francis Stephen Wershing JR, CFP®, who also goes by Steve Wershing, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Rochester, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Rochester, New York.
Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Francis has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 55, Series 7, Series 22, Series 6, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Wershing
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)INDEPENDENT INSURANCE AGENT, 1745 PINNACLE RD, HENRIETTA, NY, 9/1987 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/MO - 5/TRADING. 2)THE CLIENT DRIVEN PRACTICE, 1745 PINNACLE ROAD, HENRIETTA, NY 14467. PRESIDENT SINCE 09/01/10. NOT INVESTMENT RELATED. WORKS 25 HOURS PER WEEK ALL OF WHICH ARE DURING TRADING HOURS. DUTIES: COACHING AND CONSULTING. 3)HOCHSTEIN SCHOOL OF MUSIC AND DANCE, 50 N. PLYMOUTH AVE, ROCHESTER, NY 14614. BEGAN 9/2010 AS BOARD OF DIRECTORS MEMBER/CHAIRMAN OF CENTENNIAL COMMITTEE. DEVOTES 5 HR/MO-NONE DURING TRADING. NON-PROFIT. 4)STEPHEN WERSHING, 1745 PINNACLE RD, HENRIETT, NY 14467. BEGAN 9/2012 AS AUTHOR. DEVOTES 2 HR/WK- NONE DURING TRADING. 5)FOCUSED WEALTH ADVISORS LLC, 160 ALLENS CREEK RD STE 270, ROCHESTER, NY, 10/2014 ; AS MEMBER ; INVESTMENT RELATED ; DEVOTES 40 HRS/WK ; 40 DURING TRADING HOURS. 6)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 5/WK - 5/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 7.STRETCH PRODUCTS, PUWTUCKET, RI, 10/2016 AS DIRECTOR OF FAMILY S-CORP. NIR - 3 HR/YR - 0/TRADING. 8.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 5/WK - 5/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 10. FOCUSED ADVISOR NETWORK, 160 ALLENS CREEK RD STE 270, ROCHESTER, NY, 07/2019. MEMBER, FINANCIAL PROFESSIONAL UTILIZING DBA NAME. NIR-20/WK-20/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Francis Stephen Wershing JR'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®
CFP®
Start date: 1991
Experience
Current
August 2, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 140 Allens Creek Rd. Ste. 110, Rochester, NY 14618Office #2: 5360 Genesee St. Ste. 203, Bowmansville, NY 14026RIA
CRD#: 134139
Rochester, NY
Current
May 11, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 140 Allens Creek Rd. Ste. 110, Rochester, NY 14618Office #2: 5360 Genesee St. Ste. 203, Bowmansville, NY 14026BD
CRD#: 39543
Rochester, NY
Past
June 5, 2002 - April 27, 2010
ENSEMBLE FINANCIAL SERVICES, INC.
BD
CRD#: 17443
PITTSFORD, NY
Past
March 13, 1996 - June 6, 2002
WALL STREET FINANCIAL GROUP, INC.
BD
CRD#: 35830
VICTOR, NY
Past
September 23, 1994 - March 25, 1996
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
October 21, 1987 - September 20, 1994
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.
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
Alaska(7/26/2024)
RR
Arizona(1/3/2022)
RR
California(5/31/2011)
RR
Colorado(7/11/2011)
RR
Connecticut(6/1/2011)
RR
Florida(5/26/2011)
RR
Georgia(5/31/2011)
RR
Hawaii(7/26/2024)
RR
Kentucky(7/26/2024)
RR
Maine(5/31/2011)
RR
Massachusetts(5/31/2011)
RR
Nevada(1/19/2022)
RR
New Mexico(6/1/2011)
RR
New York(5/11/2011)
IAR
New York(4/9/2021)
RR
North Carolina(5/25/2011)
RR
Pennsylvania(5/31/2011)
RR
Rhode Island(9/17/2013)
RR
South Carolina(5/31/2011)
RR
Tennessee(7/28/2023)
RR
Texas(5/31/2011)
IAR
Texas(8/2/2016)
RR
Utah(7/26/2024)
RR
Virginia(5/25/2011)
RR
Washington(7/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/2/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Rochester, NY 14618TRUST BUT VERIFY
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