SM
Scott E. Marshall
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
DOYLESTOWN, PA 18902
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CRD#: 2906231
SM
Professional summary
Scott Edward Marshall, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Doylestown, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Doylestown, Pennsylvania.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Scott has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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, 2/2002, ADVISORY REP OF A RIA, INV REL, 120 HR/MO, 120 HR/MO TRADING. 2) LENAPE VALLEY FOUNDATION, 500 N WEST ST, DOYLESTOWN, PA, 4/2017, BOARD MEMBER, NIR, 5 HR/MO, 0 HR/MO TRADING. 3) SCOTT E MARSHALL, 100 HYDE PARK, DOYLESTOWN, PA, 1/1998, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 8 HR/MO, 4 HR/MO TRADING. 4) SCOTT E MARSHALL & ASSOCIATES WEALTH MANAGMENT, 100 HYDE PARK, DOYLESTOWN, PA, 02/2023, PRESIDENT, DBA, INV REL, 180 HR/MO, 160 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Edward Marshall'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: 2008
Experience
Current
May 5, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 100 Hyde Park, Doylestown, PA 18902RIA
CRD#: 134139
DOYLESTOWN, PA
Current
January 31, 2002 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 100 Hyde Park, Doylestown, PA 18902BD
CRD#: 39543
Doylestown, PA
Past
January 4, 2002 - January 31, 2002
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
June 30, 1997 - December 31, 2001
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
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(10/25/2002)
RR
Arkansas(1/2/2008)
RR
California(1/31/2002)
RR
Colorado(1/31/2002)
RR
Connecticut(1/31/2002)
RR
Delaware(1/31/2002)
RR
District of Columbia(3/21/2022)
RR
Florida(1/31/2002)
RR
Georgia(1/3/2023)
RR
Idaho(6/13/2023)
RR
Illinois(5/13/2014)
RR
Indiana(5/11/2015)
RR
Iowa(10/28/2014)
RR
Maryland(1/31/2002)
RR
Massachusetts(1/31/2002)
RR
Minnesota(1/3/2023)
RR
Nevada(2/2/2016)
RR
New Hampshire(2/16/2024)
RR
New Jersey(1/31/2002)
RR
New York(1/31/2002)
RR
North Carolina(1/31/2002)
RR
North Dakota(11/12/2007)
RR
Ohio(1/3/2013)
RR
Oregon(5/22/2012)
RR
Pennsylvania(1/31/2002)
IAR
Pennsylvania(5/5/2010)
RR
Rhode Island(12/7/2005)
RR
South Carolina(10/28/2011)
RR
South Dakota(3/7/2024)
RR
Texas(8/13/2013)
IAR
Texas(8/13/2013)
RR
Utah(3/9/2020)
RR
Virginia(1/31/2002)
RR
Washington(9/9/2016)
Exams
State Security Law Exam
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
General Industry/Product Exam
Principal/Supervisory 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.
