SD
Sarah Dols
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Des Moines, IA
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CRD#: 3150010
SD
Professional summary
Sarah Dols, who also goes by Sarah Desquiron, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Des Moines, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Des Moines, Iowa.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sarah has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah Desquiron
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)WINESTYLES, WEST DES MOINES, 5515 MILLS CIVIC PKWY #120, WEST DES MOINES, IA, SALES ASSOCIATE, 11/15/15, NIR, 10/WK- 0/TRADING. 2)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 05/01/20 3) FINANCIAL INTEGRATORS, 4140 GRAND AVE., DES MOINES IA 50312, 01/2025, W2 EMPLOYEE, DBA NAME, INV REL, 180 HR/MO - 140 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Dols'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
May 1, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 4140 Grand Ave., Des Moines, IA 50312RIA
CRD#: 134139
Des Moines, IA
Current
May 1, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 4140 Grand Ave., Des Moines, IA 50312BD
CRD#: 39543
Des Moines, IA
Past
February 10, 2016 - May 11, 2020
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
DES MOINES, IA
Past
June 3, 2015 - May 11, 2020
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
DES MOINES, IA
Past
February 4, 2009 - December 15, 2014
INTEGRITY ALLIANCE, LLC.
RIA
CRD#: 139627
PANORA, IA
Past
February 4, 2009 - December 15, 2014
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
URBANDALE, IA
Past
January 19, 2007 - December 31, 2008
PRINCIPAL FUNDS DISTRIBUTOR, INC.
BD
CRD#: 43261
DES MOINES, IA
Past
June 9, 2005 - December 31, 2008
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
August 16, 2001 - December 31, 2008
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
December 8, 1999 - June 29, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 8, 1999 - June 29, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
December 24, 1998 - November 22, 1999
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
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
Iowa(5/1/2020)
IAR
Iowa(5/1/2020)
Exams
State Security Law Exam
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
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.
