SS
Stacey P. Sullivan
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Beaver, PA
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CRD#: 4012228
SS
Professional summary
Stacey Paulette Sullivan, who also goes by Stacey Paulette Panis, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Beaver, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Beaver, Pennsylvania.
Stacey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stacey has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stacey Paulette Panis
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) STACEY SULLIVAN 258 TAYLOR AVE, BEAVER, PA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 06/19/07, INV REL, 10 HR/WK- 10/TRADING 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 3) STACEY SULLIVAN, 258 TAYLOR AVE, BEAVER, PA, RENTAL PROPERTY, 12/10/21, NIR, LANDLORD, 1 HR/MO- 0/TRADING 4) YMCA, 2236 THIRD AVE, NEW BRIGHTON, PA, 10/23/10, NIR, 8/HR/MO- 0/TRADING HR.
CRS (Client Relationship Summary) - RIA
Click below to view Stacey Paulette Sullivan'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
February 25, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Beaver, PA
Current
February 25, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Beaver, PA
Past
January 17, 2017 - February 25, 2021
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
HARRISBURG, PA
Past
January 17, 2017 - February 25, 2021
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
HARRISBURG, PA
Past
September 8, 2014 - January 27, 2017
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
BEAVER, PA
Past
September 2, 2014 - January 27, 2017
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
BEAVER, PA
Past
December 24, 2008 - September 4, 2014
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BEAVER FALLS, PA
Past
December 19, 2008 - September 4, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BEAVER FALLS, PA
Past
January 1, 2008 - December 3, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BEAVER, PA
Past
March 26, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
BEAVER, PA
Past
October 7, 2005 - February 21, 2007
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
CANFIELD, OH
Past
October 19, 1999 - February 21, 2007
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CANFIELD, OH
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
Delaware(2/25/2021)
RR
Florida(2/25/2021)
RR
Maryland(2/25/2021)
RR
North Carolina(2/15/2024)
RR
Ohio(2/25/2021)
RR
Pennsylvania(2/25/2021)
IAR
Pennsylvania(2/25/2021)
RR
South Carolina(2/25/2021)
RR
Virginia(11/17/2021)
Exams
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.
