RN
Robert A. Nevarez
DEMPSEY LORD SMITH
ROME, GA 30161
Some features on this profile are disabled
CRD#: 4039930
RN
Professional summary
Robert Anthony Nevarez is a registered financial advisor currently at DEMPSEY LORD SMITH, LLC located in Rome, Georgia and CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Brea, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, 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)NEVAREZ WEALTH MANAGEMENT DBA, INVESTMENT RELATED, 1924 S. PCH COAST HIGHWAY #G REDONDO BEACH CA. 90277, INVESTMENTS, INSURANCE & FINANCIAL PLANNING, FINANCIAL ADVISOR AND PRESIDENT, START DATE 02/2013, 160 HOURS/MONTH DURING TRADING HOURS,TO MARKET SALES AND INVESTMENTS PROVIDED BY NSC AND NAM....(2) PACIFIC COAST ADVISORS, LLC NOT INVESTMENT RELATED 1924 S PACIFIC COAST HIGHWAY SUITE G REDONDO BEACH, CA 90277 CHECKING ACCOUNT ASSOCIATED W/PACIFIC COAST ADVISORS LLC 100% OWNER CHECKING ACCOUNT USED TO JOURNAL COMMISSIONS AND FEES FOR TAX PURPOSES AND PAY BUSINESS RELATED EXPENSES START 1/9/2013 4 HRS PER MONTH ZERO DURING TRADING HRS
3)HN FINANCIAL GROUP; IRVINE CA. 40 HOURS PER WEEK DURING TRADING GIVES FINANCIAL AND INVESTMENT ADVISE.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Anthony Nevarez'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
November 1, 2017 - Present
DEMPSEY LORD SMITH, LLC
Office #1: 901 N Broad Street Suite 400, Rome, GA 30161RIA
BD
CRD#: 141238
ROME, GA
Current
November 24, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 19800 Macarthur Blvd. Suite 600, Irvine, CA 92612RIA
CRD#: 134139
Brea, CA
Current
November 21, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 19800 Macarthur Blvd. Suite #300, Irvine, CA 92612BD
CRD#: 39543
Irvine, CA
Past
February 6, 2017 - November 21, 2025
DEMPSEY LORD SMITH, LLC
BD
CRD#: 141238
Irvine, CA
Past
April 1, 2009 - February 7, 2017
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
IRVINE, CA
Past
March 12, 2009 - February 6, 2017
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
REDONDO BEACH, CA
Past
May 30, 2008 - March 31, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
LONG BEACH, CA
Past
May 29, 2008 - March 31, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
LONG BEACH, CA
Past
July 10, 2007 - June 2, 2008
OSAIC SERVICES, INC.
RIA
CRD#: 133763
TORRANCE, CA
Past
April 19, 2006 - August 15, 2008
INDEPENDENT CAPITAL MANAGEMENT
RIA
CRD#: 121354
SANTA MONICA, CA
Past
October 31, 2005 - June 2, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
TORRANCE, CA
Past
December 14, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
February 3, 2003 - December 9, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
April 12, 2002 - October 17, 2002
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
September 10, 2001 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
June 5, 2000 - February 10, 2001
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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(11/21/2025)
IAR
California(11/1/2017)
RR
California(11/21/2025)
RR
Colorado(11/21/2025)
RR
Georgia(11/21/2025)
RR
Idaho(11/21/2025)
RR
Michigan(11/21/2025)
RR
New York(11/21/2025)
RR
Oklahoma(11/21/2025)
RR
Washington(11/21/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
