SL
Scott A. Layeux
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Elm Grove, WI 53122
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CRD#: 2017756
SL
Professional summary
Scott Arthur Layeux, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Elm Grove, Wisconsin and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Elm Grove, Wisconsin.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Scott has worked at 13 firms and has passed the Series 63, SIE 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. FINANCIAL PARTNERS LLC, 1233 N MAYFAIR STE 308, WAUWATOSA, WI, 7/1998 AS OWNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 1/WK - 1/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 3. NETTWORTH FINANCIAL GROUP, 850 Elm Grove Road, Suite 16, Elm Grove WI 53122, United States, 10/2019, Marketing, Using a Trade Name/dba, NIR, 10 HR/MO - 5 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Arthur Layeux'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
October 4, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 850 Elm Grove Rd. Ste. 16, Elm Grove, WI 53122RIA
CRD#: 134139
Elm Grove, WI
Current
October 4, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 850 Elm Grove Rd. Ste. 16, Elm Grove, WI 53122BD
CRD#: 39543
Elm Grove, WI
Past
December 19, 2003 - October 10, 2019
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
WAUWATOSA, WI
Past
December 19, 2003 - October 10, 2019
FSC SECURITIES CORPORATION
BD
CRD#: 7461
WAUWATOSA, WI
Past
August 29, 2001 - January 29, 2004
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
February 12, 1996 - January 11, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
February 12, 1996 - January 11, 1999
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
May 24, 1995 - August 28, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
September 26, 1992 - April 12, 1995
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
September 26, 1992 - April 12, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
January 22, 1992 - July 28, 1992
MACK INVESTMENT SECURITIES, INC.
BD
CRD#: 17643
NORTHFIELD, IL
Past
September 10, 1991 - March 30, 1992
NATIONWIDE FUND DISTRIBUTORS LLC
BD
CRD#: 25910
COLUMBUS, OH
Past
January 1, 1990 - December 19, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
January 1, 1990 - December 19, 1990
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, 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
Alabama(10/4/2019)
RR
Arizona(10/4/2019)
RR
Arkansas(10/4/2019)
RR
Colorado(4/11/2024)
RR
Florida(10/4/2019)
RR
Hawaii(10/17/2019)
RR
Illinois(10/22/2019)
RR
Michigan(10/4/2019)
RR
Minnesota(10/4/2019)
RR
Mississippi(1/3/2022)
RR
Nevada(10/4/2019)
RR
North Carolina(3/26/2024)
RR
Ohio(7/19/2023)
RR
Tennessee(2/16/2022)
IAR
Texas(10/4/2019)
RR
Texas(10/8/2019)
RR
Washington(1/3/2022)
RR
West Virginia(1/3/2022)
RR
Wisconsin(10/4/2019)
IAR
Wisconsin(10/4/2019)
Exams
State Security Law 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#: 134139Elm Grove, WI 53122TRUST BUT VERIFY
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