JG
Joseph A. Garafano
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Marlton, NJ 08053
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CRD#: 1884354
JG
Professional summary
Joseph Alan Garafano, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Marlton, New Jersey and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Marlton, New Jersey.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Joseph has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Investment Planning
Retirement Planning
Tax Planning
Insurance Planning
Comprehensive Financial Planni...
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) GARAFANO TAX SERVICES, LLC, TAX CONSULTANT, 525 RTE 73S, SUITE 306C, MARLTON NJ 08053, PH 856-489-1090, START DATE 1/1/04, TOTAL HRS MO. FEB-APR 300 PLUS, DUTIES: INCOME TAX PREPARATION. FEE-BASED COMPENSATION. 2) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3) JOSEPH A. GARAFANO, CFP, PO BOX 800, MARLTON, NJ 08053-0800. CFP SINCE 01/01/95. NOT INVESTMENT RELATED. WORKS 1 HOUR WEEKLY NONE OF WHICH ARE SPENT DURING TRADING. DUTIES: INDEPENDENT INSURANCE AGENT THAT SELLS AND SERVICES LIFE INSURANCE. 4) GARAFANO WEALTH AND TAX MANAGEMENT, LLC, 525 ROUTE 73 SOUTH, SUITE 306C - POB 800, MARLTON, NJ 08053-0800 ; BEGAN 01/01/2004 ; AS TAX PREPARER ; NOT INVESTMENT RELATED ; DEVOTES 20 HRS/WK ; 10 HOURS DURING TRADING HOURS. 5) US CENSUS, 9653 FAIRFAX BLVD, FAIRFAX, VA, ENUMERATOR,CENSUS COUNTER, 08/20/220, NIR, 00/WK- 20/TRADING 6) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 04/19/2010
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Alan Garafano'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: 1994
Experience
Current
May 5, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 901 Old Marlton Pike West Ste. A7, Marlton, NJ 08053RIA
CRD#: 134139
Marlton, NJ
Current
April 12, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 901 Old Marlton Pike West Ste. A7, Marlton, NJ 08053BD
CRD#: 39543
Marlton, NJ
Past
June 16, 2008 - March 30, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
WHITEHOUSE STATION, NJ
Past
July 6, 2007 - March 30, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
WHITEHOUSE STATION, NJ
Past
May 2, 2007 - June 1, 2007
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
CHERRY HILL, NJ
Past
August 30, 1996 - May 11, 2007
WORLD INVESTMENTS, LLC
BD
CRD#: 20626
LINCROFT, NJ
Past
October 6, 1992 - August 12, 1996
WORLD INVESTMENTS, LLC
BD
CRD#: 20626
LINCROFT, NJ
Past
August 5, 1992 - October 13, 1992
L.C. WEGARD & CO., INC.
BD
CRD#: 3722
NEW YORK, NY
Past
June 19, 1989 - August 17, 1992
WORLD INVESTMENTS, LLC
BD
CRD#: 20626
LINCROFT, NJ
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
Delaware(1/23/2020)
RR
Florida(4/12/2010)
RR
New Jersey(4/12/2010)
IAR
New Jersey(5/5/2010)
RR
North Carolina(4/12/2010)
RR
Pennsylvania(4/12/2010)
RR
South Carolina(12/15/2011)
Exams
State Security Law Exam
General Industry/Product 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
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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#: 134139Marlton, NJ 08053TRUST BUT VERIFY
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Contact information
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