RS
Robert M. Shaw
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Cedar Falls, IA 50613
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CRD#: 1929620
RS
Professional summary
Robert Michael Shaw, who also goes by Rob Shaw, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Cedar Falls, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Cedar Falls, Iowa.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Robert has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Shaw
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) ROBERT SHAW FINANCIAL SERVICES: SHAW FINANCIAL SERVICES, 2302 W 1ST ST, STE 201H, CEDAR FALLS, IA, 6/1994 AS OWNER/AGENT SELLING LIFE, HEALTH, GROUP BENEFIT, LTC, DISABILITY, CRITICAL ILLNESS, FIXED ANNUITY, DENTAL & VISION PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10 HR/WK - 10/TRADING. 2) CIRA, 1776 PLEASANT PLAIN ROAD, FAIRFIELD IA, AS ADVISORY REP OF A RIA. INVESTMENT RELATED 40/WEEK 40/TRADE. SEE EMPLOYMENT HISTORY FOR START DATE. 3) FINANCIAL OUTFITTERS GROUP / 2302 W. 1st St. Suite 201H, Cedar Falls IA 50613 / 08/01/2022 / INV REL / PARTNER - PARENT ENTITY OF ROBERT SHAW FINANCIAL SERVICES / 40 HR/MO - 40 HR/MO TRADING 4) SOS LLC / 2302 W. 1st Street Suite 201E, Cedar Falls IA 50613 / 10/01/2022 / NIR / PARTNER - REAL ESTATE / 1 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Robert Michael Shaw'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
November 17, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2302 W 1st St. Ste 201 H, Cedar Falls, IA 50613RIA
CRD#: 134139
Cedar Falls, IA
Current
November 17, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2302 W 1st St Ste 201 H, Cedar Falls, IA 50613BD
CRD#: 39543
Cedar Falls, IA
Past
August 12, 1999 - December 3, 2015
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
CEDAR FALLS, IA
Past
July 23, 1999 - December 3, 2015
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
CEDAR FALLS, IA
Past
February 12, 1999 - July 22, 1999
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
Past
April 12, 1994 - February 16, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 12, 1994 - February 16, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
May 30, 1989 - March 26, 1993
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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
Arizona(1/26/2016)
RR
Colorado(3/2/2021)
RR
Florida(12/15/2020)
RR
Illinois(6/30/2023)
RR
Indiana(9/14/2020)
RR
Iowa(11/17/2015)
IAR
Iowa(11/17/2015)
RR
Kentucky(10/12/2022)
RR
Michigan(11/17/2015)
RR
North Dakota(11/17/2015)
RR
Texas(11/17/2015)
IAR
Texas(11/19/2015)
RR
Virginia(6/30/2022)
RR
West Virginia(9/17/2023)
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#: 134139Cedar Falls, IA 50613TRUST BUT VERIFY
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