MS
Mark G. Srofe
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Cincinnati, OH 45230
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CRD#: 1758736
MS
Professional summary
Mark Garner Srofe, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Cincinnati, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Cincinnati, Ohio.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 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, 03/2024, ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 2) THE ROSSELOT FINANCIAL GROUP, 7426 JAEGER COURT, CINCINNATI, OH, 03/2024, FINANCIAL ADVISOR, DBA, INV REL, 40 HR/MO, 40 HR/MO TRADING. 3) THE ROSSELOT FINANCIAL GROUP, 7426 JAEGER COURT, CINCINNATI, OH, 03/2024, INDEPENDNET INSURANCE AGENT FOR VARIOUS INDEPENDNET INSURANCE COMPANIES, INV REL, 40 HR/MO, 40 HR/MO TRADING. 4) INTERDEPENDENT ADVISORS, 7432 Jager Ct, Cin OH 45230, United States, START DATE 10/2025, Agent, DBA Name, NIR, 10 HR/MO, 10 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Garner Srofe'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: 1993
Experience
Current
March 15, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 7426 Jager Ct, Cincinnati, OH 45230RIA
CRD#: 134139
Cincinnati, OH
Current
March 14, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 7426 Jager Ct., Cincinnati, OH 45230BD
CRD#: 39543
Cincinnati, OH
Past
June 20, 2007 - March 13, 2024
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
CINCINNATI, OH
Past
June 18, 2007 - March 13, 2024
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
CINCINNATI, OH
Past
April 13, 2006 - February 14, 2007
L.M. KOHN & COMPANY
RIA
CRD#: 27913
CINCINNATI, OH
Past
April 10, 2006 - February 14, 2007
L.M. KOHN & COMPANY
BD
CRD#: 27913
CINCINNATI, OH
Past
September 12, 2002 - March 31, 2006
EQUITY ANALYSTS INC.
RIA
CRD#: 15876
CINCINNATI, OH
Past
August 30, 2002 - March 31, 2006
EQUITY ANALYSTS INC.
BD
CRD#: 15876
CINCINNATI, OH
Past
March 12, 1996 - September 9, 2002
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
August 15, 1995 - March 4, 1996
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 3155
CINCINNATI, OH
Past
December 3, 1987 - August 31, 1995
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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
Florida(3/15/2024)
RR
Kentucky(3/14/2024)
IAR
Kentucky(3/20/2024)
RR
Maine(3/15/2024)
RR
Ohio(3/14/2024)
IAR
Ohio(3/15/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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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#: 134139Cincinnati, OH 45230TRUST BUT VERIFY
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