SM
Stephen T. Mcginn
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
MALVERN, PA 19355
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CRD#: 1982380
SM
Professional summary
Stephen Thomas Mcginn, CFP®, ChFC® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Malvern, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Malvern, Pennsylvania.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Stephen has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 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) MCGINN FINANCIAL SERVICES, INV REL, MARKETING FINANCIAL SERVICE AND FINANCIAL PLANNING, MARKETING INSURANCE AND INVESTMENT PRODUCTS, 200 HR/MO 200 HR/MO TRADING 2) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3) CHAMBER OF COMMERCE. CHESTER COUNTY CHAMBER OF BUSINESS AND INDUSTY 1600 PAOLI PIKE MALVERN PA, MEMBER. 01/2001, NIR. 3 HR/MO 3 HR/MO TRADING. I AM A MEMBER AND ATTEND VARIOUS NETWORKING EVENTS. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO 40 HR/MO TRADING. 07/2008 5) MCGINN FINANCIAL SERVICES, 1600 PAOLI PIKE SUITE 200 MALVERN PA, 07/2008, IAR, Using a Trade Name / DBA, INV REL, 160 HR/MO 160 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Thomas Mcginn'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: 2001
Experience
Current
July 2, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1600 Paoli Pike Ste 200, Malvern, PA 19355RIA
CRD#: 134139
MALVERN, PA
Current
July 2, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1600 Paoli Pike Ste 200, Malvern, PA 19355BD
CRD#: 39543
Malvern, PA
Past
October 17, 2002 - July 3, 2008
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
MALVERN, PA
Past
October 17, 2002 - July 3, 2008
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
MALVERN, PA
Past
September 27, 2001 - October 24, 2002
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
KING OF PRUSSIA, PA
Past
September 28, 1989 - October 24, 2002
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
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(1/3/2017)
RR
California(7/2/2008)
RR
Delaware(7/2/2008)
RR
Florida(7/2/2008)
RR
Georgia(1/10/2013)
RR
Massachusetts(8/7/2008)
RR
Missouri(7/2/2008)
RR
New Jersey(7/2/2008)
RR
New York(7/2/2008)
RR
North Carolina(7/2/2008)
RR
Ohio(7/2/2008)
RR
Pennsylvania(7/2/2008)
IAR
Pennsylvania(7/2/2008)
RR
South Carolina(7/2/2008)
RR
Tennessee(2/27/2009)
RR
Texas(7/2/2008)
IAR
Texas(2/17/2011)
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
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.
