SV
Susan D. Vargason
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Gilbert, AZ
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CRD#: 2445392
SV
Professional summary
Susan Denise Vargason, who also goes by Susan Denise Grady, Susan Grady, Susan White, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Gilbert, Arizona and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fairfield, Iowa.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Susan has worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Denise Grady | Susan Grady | Susan White
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. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 07/11/17. 2. BRAM, LLC, 932 S Abalone Dr., Gilbert AZ 85233, 01/2025, OWNER, REAL ESTATE, NIR 5 HO/MO - 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Susan Denise Vargason'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
July 10, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 4642 Brook St., Medina, MN 55359Office #3: 1776 Pleasant Plain Rd., Fairfield, IA 52556-8757RIA
CRD#: 134139
Gilbert, AZ
Current
July 10, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1776 Pleasant Plain Rd., Fairfield, IA 52556-8757Office #2: 4642 Brook St, Medina, MN 55359Office #3: 1776 Pleasant Plain Rd, Fairfield, IA 52556-8757BD
CRD#: 39543
Fairfield, IA
Past
October 27, 2016 - June 28, 2017
DFPG INVESTMENTS, LLC
RIA
CRD#: 155576
Gilbert, AZ
Past
October 27, 2016 - June 28, 2017
DFPG INVESTMENTS, LLC
BD
CRD#: 155576
SANDY, UT
Past
March 12, 2007 - October 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
OVERLAND PARK, KS
Past
March 12, 2007 - October 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
OVERLAND PARK, KS
Past
May 8, 2006 - March 13, 2007
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
OVERLAND PARK, KS
Past
January 27, 1994 - March 13, 2007
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, 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
Arizona(7/10/2017)
IAR
Arizona(7/10/2017)
RR
Iowa(7/10/2017)
IAR
Iowa(7/11/2017)
RR
Massachusetts(8/28/2019)
RR
Minnesota(5/4/2022)
IAR
Minnesota(5/4/2022)
RR
Vermont(2/13/2020)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral 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.
