SW
Shelly D. Woodley
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Mt Vernon, IA 52314
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CRD#: 2297878
SW
Professional summary
Shelly Denise Woodley, who also goes by Shelly D Ambroson, Shelly Denise Ambroson, Shelly Denise Hagarty, Shelly Denise Johnson, Shelly Densie Johnson, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Mt Vernon, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Mt Vernon, Iowa.
Shelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Shelly has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shelly D Ambroson | Shelly Denise Ambroson | Shelly Denise Hagarty | Shelly Denise Johnson | Shelly Densie Johnson
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) MOUNT VERNON INVESTMENT CENTER, 204 Glenn St., Ste 2, Mt Vernon, IA 52314, United States, 10/2017 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 2 HR/MO, 2 HR/MO TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL, 80 HR/MO, 80 HR/MO TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3) MOUNT VERNON INVESTMENT CENTER, 204 Glenn St., Ste 2, Mt Vernon, IA 52314, United States, 11/01/2017, IAR, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING 4) LYNN AND SHELLY WOODLEY, 2040 Holiday Road, Coralville IA 52241, United States, 09/15/2025, Investment Advisor Representative, Real Estate, NIR, 2 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Shelly Denise Woodley'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 1, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 206 1st St. Sw, Mt Vernon, IA 52314Office #2: 204 Glenn St. Ste 2, Mt Vernon, IA 52314RIA
CRD#: 134139
Mt Vernon, IA
Current
November 1, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 204 Glenn St. Ste 2, Mt Vernon, IA 52314Office #2: 206 1st St. Sw, Mt Vernon, IA 52314BD
CRD#: 39543
Mt Vernon, IA
Past
November 26, 2013 - November 1, 2017
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
MT. VERNON, IA
Past
November 1, 2013 - November 1, 2017
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
MT. VERNON, IA
Past
August 16, 2011 - November 5, 2013
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
MARION, IA
Past
September 7, 2006 - September 29, 2008
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
FOREST CITY, IA
Past
April 10, 1995 - September 1, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
November 30, 1992 - February 7, 1995
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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
Arkansas(1/2/2025)
RR
Colorado(11/1/2017)
RR
Florida(6/25/2020)
RR
Illinois(11/1/2017)
RR
Indiana(1/2/2024)
RR
Iowa(11/1/2017)
IAR
Iowa(11/1/2017)
RR
Kansas(1/2/2025)
RR
Minnesota(9/5/2019)
RR
Nebraska(1/3/2022)
RR
Pennsylvania(1/2/2025)
RR
Virginia(1/2/2024)
RR
Washington(3/3/2025)
RR
Wisconsin(6/22/2018)
Exams
State Security Law Exam
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#: 134139Mt Vernon, IA 52314TRUST BUT VERIFY
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