TP
Todd M. Phelan
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Auburn, AL 36830
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CRD#: 2951802
TP
Professional summary
Todd Moore Phelan is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Auburn, Alabama and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Auburn, Alabama.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Todd has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 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) TODD PHELAN, 1224 OGLETREE VILLAGE LANE, AUBURN, AL,INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 01/04/21, NIR, 2 HR/MO- 0/TRADING HR. 2) TODD PHELAN DBA WILSON INVESTMENT GROUP, 1224 OGLETREE VILLAGE LANE, AUBURN, AL, FINANCIAL ADVISOR, 01/04/21, INV REL, 40 HR/WK- 40/TRADING HR. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 01/04/21 4) PHELAN, INC, 1199 ROXBORO DRIVE, ATLANTA, GA, PRESIDENT, LLC, 03/20/21, NIR, 1 HR/WK- 0/TRADING HR. 5) AUBURN, AL CHAMBER OF COMMERCE, 714 East Glenn Avenue, Auburn AL 36830, 01/2022, BOARD MEMBER, MUNICIPAL VOLUNTEER, NIR, 2 HR/MONTH 0 HR/MONTH TRADING 6) CITY OF AUBURN AL CITY COUNCIL CAMPAIGN TREASURER, 250 Cary Drive, Auburn AL 36830, United States, 03/15/2022, Campaign Treasurer, Volunteer, NIR, 2 HR/MO - 0 HR/MO TRADING 7) ROTARY CLUB OF AUBURN AL, P.O. Box 852, Auburn AL 36831, United States, 06/2023, TREASURER, NIR, 2 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Todd Moore Phelan'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 12, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1224 Ogletree Village Lane, Auburn, AL 36830RIA
CRD#: 134139
Auburn, AL
Current
October 7, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1224 Ogletree Village Lane, Auburn, AL 36830BD
CRD#: 39543
Auburn, AL
Past
January 2, 1998 - June 24, 2020
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
November 21, 1997 - January 2, 1998
SUNTRUST CAPITAL MARKETS, INC.
BD
CRD#: 36888
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
Alabama(10/7/2020)
IAR
Alabama(1/12/2021)
RR
Arkansas(1/4/2021)
RR
California(1/4/2021)
RR
Colorado(1/4/2021)
RR
District of Columbia(1/4/2021)
RR
Florida(1/4/2021)
RR
Georgia(1/4/2021)
IAR
Georgia(1/13/2021)
RR
Hawaii(9/27/2022)
RR
Maryland(1/4/2021)
RR
Montana(1/4/2021)
RR
North Carolina(1/4/2021)
RR
Pennsylvania(1/4/2021)
RR
Tennessee(1/20/2022)
RR
Texas(1/4/2021)
IAR
Texas(1/12/2021)
RR
Virginia(1/4/2021)
RR
Washington(7/11/2024)
Exams
State Security Law Exam
State Security Law 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
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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#: 134139Auburn, AL 36830TRUST BUT VERIFY
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