AS
Alan T. Schauer
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
CINCINNATI, OH 45242
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CRD#: 2307016
AS
Professional summary
Alan Thomas Schauer, AIF®, CFP®, ChFC®, CLU®, who also goes by Alan Schauer, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Cincinnati, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Cincinnati, Ohio.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Alan has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan Schauer
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)schauer financial - INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.
2)notary public 8170 corporate park dr, ste 210, CINCINNATI, OH 45241. BEGAN 7/15/2004 AS NOTARY PULIC, OCCASIONAL NOTARY STAMP PROVIDED FOR OUR OHIO CLIENTS (AVERAGING LESS THAN ONCE/YEAR). INVESTMENT RELATED. DEVOTES 0 HRS/YR. NONE DURING TRADING. NON-PROFIT ORGANIZAITON.
3)AFFINITY WEALTH ADVISORS INC. 8170 corporate park dr, ste 210, cincinnati, oh, 11/11/11 AS MEMBER of securities dba; inv rel - 50 HRS/YR - 0/TRADING.
4.SOCIETY OF RESEARCH ADMINISTRATORS INTERNATIONAL, 1560 WILSON BLVD, STE 310, ARLINGTON, VA, 7/2018 AS EVENT PHOTOGRAPHER. NIR - 6/YR - 0/TRADING.
5. CIRA, 1776 PLEASANT PLAIN, FAIRFIELD, IA AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Thomas Schauer'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: 2006
Experience
Current
October 6, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 8170 Corporate Park Dr Suite 210, Cincinnati, OH 45242RIA
CRD#: 134139
CINCINNATI, OH
Current
October 6, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 8170 Corporate Park Dr. Suite 210, Cincinnati, OH 45242BD
CRD#: 39543
Cincinnati, OH
Past
January 4, 2008 - October 31, 2008
INTEROCEAN WEALTH MANAGEMENT LLC
RIA
CRD#: 140456
CHICAGO, IL
Past
January 4, 2008 - October 31, 2008
INTEROCEAN SECURITIES LLC
BD
CRD#: 141077
CINCINNATI, OH
Past
August 7, 2006 - January 28, 2008
LPL FINANCIAL LLC
RIA
CRD#: 6413
CINCINNATI, OH
Past
August 4, 2006 - January 28, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
CINCINNATI, OH
Past
March 6, 2006 - October 12, 2006
KEN BYERS & ASSOCIATES
RIA
CRD#: 119968
CINCINNATI, OH
Past
February 15, 2002 - August 11, 2006
VALMARK ADVISERS, INC.
RIA
CRD#: 108050
BLUE ASH, OH
Past
January 15, 2002 - August 7, 2006
VALMARK SECURITIES, INC.
BD
CRD#: 31243
BLUE ASH, OH
Past
January 22, 1993 - January 18, 2002
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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(5/31/2016)
RR
Arkansas(8/10/2015)
RR
California(4/7/2009)
RR
Colorado(1/2/2013)
RR
District of Columbia(1/24/2017)
RR
Florida(10/6/2008)
RR
Georgia(1/12/2015)
RR
Hawaii(1/3/2022)
RR
Idaho(3/9/2021)
RR
Illinois(1/8/2019)
RR
Indiana(3/4/2016)
RR
Iowa(2/17/2025)
RR
Kentucky(6/16/2011)
RR
Maryland(2/19/2016)
RR
Michigan(9/27/2018)
RR
Minnesota(11/30/2023)
RR
New Mexico(4/12/2022)
RR
North Carolina(3/12/2024)
RR
Ohio(10/6/2008)
IAR
Ohio(10/6/2008)
RR
Pennsylvania(12/10/2015)
RR
South Carolina(7/10/2018)
RR
Tennessee(8/5/2021)
RR
Texas(10/6/2008)
IAR
Texas(1/3/2017)
RR
Virginia(12/12/2011)
RR
Washington(4/17/2017)
RR
Wisconsin(2/13/2025)
Exams
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
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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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#: 134139Cincinnati, OH 45242TRUST BUT VERIFY
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