TS
Traci A. Shughart
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Mount Holly Springs, PA
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CRD#: 4026089
TS
Professional summary
Traci Ann Shughart is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Mount Holly Springs, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Wormleysburg, Pennsylvania.
Traci is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Traci has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 06/2002, AS ADVISORY REP OF A RIA. INV REL, 5 HR/WK 5 HR/TRADING 2) PREMIER WEALTH MANAGEMENT, 5004 LENKER STREET STE 200 MECHANICSBURG PA, GENERAL BUSINESS CORP, PRESIDENT, 07/2000, INV REL, 35 HR/WK 35/TRADING HR 3) THE LFA FOUNDATION, PO BOX 60363 HARRISBURG PA, 03/2018, SECRETARY, NON-PROFIT TO PROMOTE AWARENESS AND EDUCATION FOR RUSSELL SILVER SYNDROME AND AUTISM SPECTRUM DISORDER, NIR, 2/MO 0/TRADING 4) BETHANY HOUSE, 558 PETERSBURG ROAD CARLISLE PA, BOARD MEMBER, HOME FOR YOUNG WOMEN AGING OUT OF FOSTER CARE, 03/2021, NIR, 2 HR/MO 0/TRADING HR 5) PREMIER WEALTH MANAGEMENT INC BOARD OF DIRECTORS, 5004 LENKER STREET STE 200 MECHANICSBURG PA 17050, 01/2002, SECRETARY, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2 HR/MO 2 HR/MO TRADING 6) FIXED INSURANCE, 1011 MUMMA ROAD SUITE 100 WORMLEYSBURG PA 17043, 07/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 1 HR/MO 1 HR/MO TRADING 7) PREMIER NETWORK OF FINANCIAL ADVISORS, 1101 MUMMA ROAD SUITE 100 WORMLEYSBURG PA, 09/2024, OWNER, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Traci Ann Shughart'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 28, 2005 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 1011 Mumma Rd. Ste. 100, Wormleysburg, PA 17043RIA
CRD#: 134139
Mount Holly Springs, PA
Current
June 3, 2002 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1011 Mumma Rd. Ste. 100, Wormleysburg, PA 17043BD
CRD#: 39543
Wormleysburg, PA
Past
January 3, 2005 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
Wesley Chapel, FL
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(1/3/2022)
RR
Alaska(1/3/2022)
RR
Arizona(1/3/2022)
RR
Arkansas(1/3/2022)
RR
California(1/3/2022)
RR
Colorado(1/3/2022)
RR
Connecticut(1/3/2022)
RR
Delaware(1/3/2022)
RR
District of Columbia(1/3/2022)
RR
Florida(1/3/2022)
RR
Georgia(1/3/2022)
RR
Hawaii(1/3/2022)
RR
Idaho(1/3/2022)
RR
Illinois(1/3/2022)
RR
Indiana(1/3/2022)
RR
Iowa(1/3/2022)
RR
Kansas(1/3/2022)
RR
Kentucky(1/3/2022)
RR
Louisiana(1/3/2022)
RR
Maine(1/3/2022)
RR
Maryland(1/3/2022)
RR
Massachusetts(1/3/2022)
RR
Michigan(1/3/2022)
RR
Minnesota(1/3/2022)
RR
Mississippi(1/3/2022)
RR
Missouri(1/3/2022)
RR
Montana(1/4/2022)
RR
Nebraska(1/3/2022)
RR
Nevada(1/3/2022)
RR
New Hampshire(1/3/2022)
RR
New Jersey(1/3/2022)
RR
New Mexico(1/3/2022)
RR
New York(1/3/2022)
RR
North Carolina(1/3/2022)
RR
North Dakota(1/3/2022)
RR
Ohio(1/4/2022)
RR
Oklahoma(1/3/2022)
RR
Oregon(1/3/2022)
RR
Pennsylvania(6/27/2002)
IAR
Pennsylvania(3/28/2005)
RR
Puerto Rico(1/3/2022)
RR
Rhode Island(1/3/2022)
RR
South Carolina(1/3/2022)
RR
South Dakota(1/3/2022)
RR
Tennessee(1/3/2022)
RR
Texas(1/3/2022)
IAR
Texas(1/4/2022)
RR
Utah(1/3/2022)
RR
Vermont(1/3/2022)
RR
Virgin Islands(5/13/2022)
IAR
Virgin Islands(5/17/2022)
RR
Virginia(1/3/2022)
RR
Washington(1/3/2022)
RR
West Virginia(1/3/2022)
RR
Wisconsin(1/3/2022)
RR
Wyoming(1/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
