TM
Toireasa H. Moran
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Chicago, IL
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CRD#: 2724887
TM
Professional summary
Toireasa Helene Moran, who also goes by Treasa Helene Moran, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Chicago, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Chicago, Illinois.
Toireasa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Toireasa has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Treasa Helene Moran
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. LILAC TREE, 1101 Davis St, Unit 510, Evanston IL 60204, United States, 06/18/2024, Committee Member, Non profit/Civic Community organization, NIR, 1 HR/MO - 1 HR/MO TRADING 2. ANCHOR POINT WEALTH ADVISORS LLC, 1867 n halsted, 3f, Chicago IL 60614, United States, 04/24/2018, Agent, Insurance/Benefits/Human Resources, INV REL, 5 HR/MO - 5 HR/MO TRADING 3. OUR LADY OF VICTORY MISSIONARY SISTERS COMMUNITY SUPPORT TRUST, 1900 W Park Drive, Huntington IN 46750, United States, 06/18/2024, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, INV REL, 1 HR/MO - 0 HR/MO TRADING 4. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 06/18/2024 5. ANCHOR POINT WEALTH ADVISORS LLC, 1867 N Halsted, 3F, Chicago IL 60614, United States, 06/18/2024, IAR, Using a Trade Name / DBA, INV REL, 160 HR/MO - 120 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Toireasa Helene Moran'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
June 18, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Chicago, IL
Current
June 18, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Chicago, IL
Past
January 26, 2018 - June 27, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Chicago, IL
Past
December 22, 2017 - June 27, 2024
MORGAN STANLEY
BD
CRD#: 149777
Chicago, IL
Past
November 19, 2009 - May 24, 2010
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
CHICAGO, IL
Past
October 25, 2005 - April 2, 2009
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
CHICAGO, IL
Past
December 16, 1999 - August 29, 2005
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
Past
March 29, 1996 - October 12, 1998
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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(6/18/2024)
RR
Florida(6/18/2024)
RR
Illinois(6/18/2024)
IAR
Illinois(6/18/2024)
RR
Indiana(6/18/2024)
RR
Minnesota(6/18/2024)
RR
New York(6/18/2024)
RR
Pennsylvania(6/18/2024)
RR
Rhode Island(6/18/2024)
RR
Wisconsin(6/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
