MM
Mark G. Metzger
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Locust, NC 28097
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CRD#: 4008862
MM
Professional summary
Mark Gregory Metzger is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Locust, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Locust, North Carolina.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Mark has worked at 6 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) WATER OAK PROPERTIES, 602 Main St W; Locust, NC 28097, 08/1999, OWNER, REAL ESTATE, NIR, 20 HRS/MO 5 HRS/MO TRADING 2) WATER OAK INVESTMENTS, 602 Main St W; Locust, NC 28097, 01/2000, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 10 HR/MO, 10 HR/MO TRADING 3) CIRA, 776 PLEASANT PLAIN RD FAIRFIELD IA, 03/2022, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING 4) EXECUTIVES ASSOCIATION OF CHARLOTTE, PO BOX 49654 CHARLOTTE NC, 01/2023, BOARD MEMBER, NIR, 2 HR/MO 1 HR/MO TRADING 5) WATER OAK PARTNERS, 602 Main St W; Locust, NC 28097, 01/2023, OWNER, REAL ESTATE, NIR, 5 HRS/MO 3 HRS/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Mark Gregory Metzger'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
March 1, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 602 Main St W, Locust, NC 28097RIA
CRD#: 134139
Locust, NC
Current
March 1, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 602 Main St W, Locust, NC 28097BD
CRD#: 39543
Locust, NC
Past
June 9, 2021 - March 2, 2022
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MATTHEWS, NC
Past
June 9, 2021 - March 2, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MATTHEWS, NC
Past
June 9, 2017 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MATTHEWS, NC
Past
January 2, 2009 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MATTHEWS, NC
Past
September 30, 2004 - January 7, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
CHARLOTTE, NC
Past
October 26, 1999 - October 6, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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(3/1/2022)
RR
Florida(3/1/2022)
RR
Georgia(3/1/2022)
RR
Illinois(6/30/2022)
RR
Indiana(12/13/2023)
RR
Kentucky(3/1/2022)
RR
Minnesota(3/1/2022)
RR
North Carolina(3/1/2022)
IAR
North Carolina(3/1/2022)
RR
Pennsylvania(3/1/2022)
RR
South Carolina(3/1/2022)
RR
Texas(1/2/2024)
IAR
Texas(1/3/2024)
RR
Vermont(3/1/2022)
RR
Virginia(3/1/2022)
RR
Wisconsin(4/29/2024)
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
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Locust, NC 28097TRUST BUT VERIFY
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