JF
Joseph J. Fragale
CAMBRIDGE INVESTMENT RESEARCH
Des Plaines, IL 60018
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CRD#: 2464845
JF
Professional summary
Joseph James Fragale, who also goes by Joe Fragale, is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Des Plaines, Illinois.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1994. Joseph has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joe Fragale
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Joseph James Fragale'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 4, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2800 S River Rd, Suite 430, Des Plaines, IL 60018BD
CRD#: 39543
Des Plaines, IL
Past
August 9, 1996 - December 31, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
DES PLAINES, IL
Past
March 1, 1996 - August 20, 1996
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
June 1, 1994 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
May 6, 1994 - June 7, 1994
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(1/2/2018)
RR
California(11/6/2024)
RR
Florida(7/29/2010)
RR
Illinois(1/4/2010)
RR
Indiana(2/7/2013)
RR
South Carolina(1/4/2010)
RR
Texas(2/2/2018)
RR
Wisconsin(1/4/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH, INC.
CAMBRIDGE | JORDAN CREEK FINANCIAL SERVICES | FAIRFIELD GLOBAL INVESTMENTS, INC. | CANTELLA & CO., INC. | CAMBRIDGE INVESTMENT RESERARCH, INC. | CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Phone number
(641) 472-5100
Established
Iowa since 10/12/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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.
