Stephen R. Facella
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Fort Lauderdale, FL 33301
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CRD#: 2912309
Professional summary
Stephen Rocco Facella, CFP®, who also goes by Stephen R Facella, Steve R Facella, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Fort Lauderdale, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fort Lauderdale, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Stephen has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen R Facella | Steve R Facella
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.ESTATE & TRUST SERVICES GROUP LLC, 1489 W PLAMETTO PARK RD #420, BOCA RATON, FL, 7/2010 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 3/YR - 0/TRADING. 2.FINRA, 5200 TOWN CTR CIR #200, BOCA RATON, FL, 1/2011 AS PANELIST/CHAIRPERSON PRESIDING OVER ARBITRATION CASES. NIR - 50/YR - 0/TRADING. 3.THE CENTER FOR FINANCIAL EDUCATION INC, 1301 E BROWARD BLVD 335, FT LAUDERDALE, FL, 1/2018 AS FOUNDER/PRESIDENT. ORGANIZATION IS CURRENTLY DORMANT, INITIALLY SET UP FOR COMMUNITY AWARENESS AND FINANCIAL EDUCATION. NIR - 0 HRS. 4.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 80/MO - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 5.YOUR FIDUCIARY TEAM, LLC, 1301 E BROWARD BLVD STE 335, FT LAUDERDALE, FL, 01/01/19, AS MANAGING MEMBER/FINANCIAL PROFESSIONAL UTILIZING DBA NAME/OFFICE SPACE LEASING.HOLISTIC CONSULTING AND FINANCIAL PLANNING SERVICES, INV REL - 80/WK - 100/TRADING. 6. ST JEROME CHURCH AND SCHOOL, 2601 SW 9TH AVE, FT LAUDERDALE, 10/2021 BOARD MEMBER FINANCIAL COUNCIL OF CHURCH AND SCHOOL, 11/02/20, NIR, 5 HR/MO - 0 HR/MO TRADING 7. DOYLE INSURANCE INC, 1301 E BROWARD BLVD, SUITE 335, FT LAUDERDALE FL, 10/2021, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 10 HR/MO - 10 HR/MO TRADING 8. PAYNO_ATTENTION_TOME, 1301 E Broward Blvd, suite 335, Ft Lauderdale FL 33301, United States, 01/03/2023, psuedo-candid 18 second to 56 second entertaining videos, NIR, 5 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Rocco Facella'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: 2006
Experience
Current
October 3, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1301 E Broward Blvd. Suite 335, Fort Lauderdale, FL 33301RIA
CRD#: 134139
Fort Lauderdale, FL
Current
September 20, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1301 E Broward Blvd. Suite 335, Fort Lauderdale, FL 33301BD
CRD#: 39543
Fort Lauderdale, FL
Past
July 5, 2018 - November 12, 2018
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
Fort Lauderdale, FL
Past
May 30, 2017 - September 21, 2018
KOVACK SECURITIES INC.
BD
CRD#: 44848
Fort Lauderdale, FL
Past
May 14, 2009 - July 13, 2018
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
RIA
CRD#: 131631
FORT LAUDERDALE, FL
Past
May 11, 2009 - June 8, 2017
CAPITAL GUARDIAN, LLC
BD
CRD#: 137919
FT LAUDERDALE, FL
Past
October 10, 2006 - May 1, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
CORAL SPRINGS, FL
Past
August 16, 2006 - May 1, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CORAL SPRINGS, FL
Past
August 19, 1997 - July 28, 2006
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
FT. LAUDERDALE, FL
Past
August 15, 1997 - July 28, 2006
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
FT. LAUDERDALE, FL
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
California(9/20/2018)
RR
Florida(9/20/2018)
IAR
Florida(10/3/2018)
RR
Illinois(1/3/2025)
RR
New Jersey(4/25/2025)
RR
New York(9/20/2018)
RR
North Carolina(4/12/2019)
RR
South Dakota(9/20/2018)
Exams
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Fort Lauderdale, FL 33301TRUST BUT VERIFY
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