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Scott E. Steiner
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Grand Junction, CO 81505
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CRD#: 3027728
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Professional summary
Scott Earl Steiner is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Grand Junction, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Grand Junction, Colorado.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 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. SCOTT STEINER, INC., 627 24 1/2 Rd., Unit H, Grand Junction CO 81505, 01/07/1998, Owner, Insurance/Benefits/Human Resources, NIR, 10 HR/MO - 10 HR/MO TRADING 2. SAMANDED, LLC., Grand Junction CO, 05/2021, Owner, Real Estate, NIR, 5 HR/MO, 5 Trading 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 07/08/2024 4. WESTERN COLORADO WEALTH MANAGEMENT CONSULTANTS, 627 24 1/2 Rd., Unit H, Grand Junction CO 81505, 07/13/2023, Owner, DBA Name, INV REL, 40 HR/MO, 40 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Earl Steiner'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
July 8, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 627 24 1/2 Rd. Unit H, Grand Junction, CO 81505RIA
CRD#: 134139
Grand Junction, CO
Current
July 13, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 627 24 1/2 Rd. Unit H, Grand Junction, CO 81505BD
CRD#: 39543
Grand Junction, CO
Past
August 30, 2017 - July 14, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
GRAND JUNCTION, CO
Past
February 8, 2017 - August 14, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
GRAND JUNCTION, CO
Past
April 4, 2007 - March 10, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
GRAND JUNCTION, CO
Past
January 2, 2004 - April 4, 2007
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
GRAND JUNCTION, CO
Past
July 18, 2001 - December 31, 2003
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
WESTLAKE VILLAGE, CA
Past
February 1, 1999 - May 18, 2001
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
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(7/13/2023)
RR
California(7/13/2023)
RR
Colorado(7/13/2023)
IAR
Colorado(7/8/2024)
RR
Florida(7/13/2023)
RR
Georgia(7/24/2025)
RR
Illinois(8/15/2023)
RR
Kentucky(7/13/2023)
RR
Louisiana(8/20/2024)
RR
Missouri(8/10/2023)
RR
Nevada(3/31/2025)
RR
New Hampshire(7/19/2023)
RR
New Mexico(7/13/2023)
RR
Oregon(7/13/2023)
RR
Tennessee(7/13/2023)
RR
Texas(7/13/2023)
IAR
Texas(7/8/2024)
RR
Utah(7/13/2023)
RR
Vermont(6/13/2024)
RR
Washington(8/21/2023)
RR
West Virginia(3/31/2025)
RR
Wyoming(2/4/2025)
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
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.
