DV
Darraugh A. Valli
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Fanwood, NJ 07023
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CRD#: 2191309
DV
Professional summary
Darraugh Anne Valli, who also goes by Darraugh Anne Obrien, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Fanwood, New Jersey and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fanwood, New Jersey.
Darraugh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Darraugh has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Darraugh Anne Obrien
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) SILVER BEACH ASSOCIATION, 205 SILVER BEACH RD SILVER BEACH NJ, 09/2022, BOARD MEMBER, INV REL, 2 HR/MO 0 HR/MO TRADING 2) DARRAUGH A. VALLI, 265 SOUTH AVENUE FANWOOD NJ, 04/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 2 HR/MO 2 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 01/2024, ADVISORY REP OF AN RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 4) FAMILY INVESTORS COMPANY, 265 SOUTH AVENUE FANWOOD NJ, 04/2024, OWNER, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Darraugh Anne Valli'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
January 24, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 313 South Avenue Ste. 105, Fanwood, NJ 07023RIA
CRD#: 134139
Fanwood, NJ
Current
January 4, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 313 South Avenue Ste. 105, Fanwood, NJ 07023BD
CRD#: 39543
Fanwood, NJ
Past
February 14, 2000 - April 10, 2024
FAMILY INVESTORS COMPANY
BD
CRD#: 1785
FANWOOD, NJ
Past
February 26, 1992 - January 26, 2000
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, 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(2/29/2024)
RR
Alaska(1/4/2024)
RR
Arizona(1/4/2024)
RR
California(1/4/2024)
RR
Colorado(1/4/2024)
RR
Connecticut(1/4/2024)
RR
Delaware(1/4/2024)
RR
Florida(1/4/2024)
RR
Georgia(1/4/2024)
RR
Hawaii(1/4/2024)
RR
Illinois(1/16/2024)
RR
Iowa(1/4/2024)
RR
Kansas(1/26/2024)
RR
Kentucky(1/4/2024)
RR
Louisiana(1/4/2024)
RR
Maine(1/4/2024)
RR
Maryland(1/4/2024)
RR
Massachusetts(1/30/2024)
RR
Minnesota(4/10/2024)
RR
Missouri(1/4/2024)
RR
Nebraska(1/4/2024)
RR
Nevada(1/4/2024)
RR
New Hampshire(1/8/2024)
RR
New Jersey(1/4/2024)
IAR
New Jersey(1/24/2024)
RR
New Mexico(1/4/2024)
RR
New York(1/4/2024)
RR
North Carolina(4/10/2024)
RR
Ohio(1/4/2024)
RR
Oregon(1/10/2024)
RR
Pennsylvania(4/10/2024)
RR
Rhode Island(1/8/2024)
RR
South Carolina(2/12/2024)
RR
Tennessee(1/4/2024)
RR
Texas(1/4/2024)
IAR
Texas(1/24/2024)
RR
Vermont(1/23/2024)
RR
Virginia(1/30/2024)
RR
Washington(1/4/2024)
RR
Wisconsin(1/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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
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.
