TM
Timothy R. Mcsweeney
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Palm Desert, CA
Some features on this profile are disabled
CRD#: 2788210
TM
Professional summary
Timothy Richard Mcsweeney, who also goes by Tim R Mcsweeney, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Palm Desert, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Palm Desert, California.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Timothy has worked at 11 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
Tim R Mcsweeney
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) TIM MCSWEENEY, 76 Meridian Drive, Aliso Viejo CA 92656, 01/2025, OWNER, REAL ESTATE, NIR 1 HR/MO - 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Richard Mcsweeney'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 10, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Palm Desert, CA
Current
January 12, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #2: 1776 Pleasant Plain Rd, Fairfield, IA 52556-8757BD
CRD#: 39543
Palm Desert, CA
Past
September 13, 2024 - December 31, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
PALM DESERT, CA
Past
September 13, 2024 - December 31, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Palm Desert, CA
Past
April 7, 2021 - September 16, 2024
GROVE POINT ADVISORS, LLC
RIA
CRD#: 313171
Palm Desert, CA
Past
March 29, 2021 - September 16, 2024
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
Palm Desert, CA
Past
March 24, 2004 - April 26, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
ALISO VIEJO, CA
Past
March 9, 2004 - April 26, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALISO VIEJO, CA
Past
May 5, 2003 - March 4, 2004
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
March 12, 2001 - May 2, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
March 17, 1998 - March 2, 2001
ATLAS SECURITIES, LLC
BD
CRD#: 20991
SAN LEANDRO, CA
Past
October 14, 1996 - March 16, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
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(1/12/2025)
IAR
California(1/10/2025)
RR
California(1/12/2025)
RR
Colorado(1/12/2025)
RR
Florida(1/12/2025)
RR
Illinois(1/12/2025)
RR
Kansas(1/12/2025)
RR
Louisiana(1/12/2025)
RR
Nevada(1/12/2025)
RR
New Jersey(1/12/2025)
RR
Oregon(1/12/2025)
RR
South Carolina(1/12/2025)
IAR
Texas(1/10/2025)
RR
Texas(1/12/2025)
RR
Utah(1/12/2025)
RR
Washington(1/12/2025)
RR
Wisconsin(1/12/2025)
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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
