Timothy V. Swartley
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Telford, PA 18969
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CRD#: 4101705
Professional summary
Timothy Vernon Swartley, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Telford, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Telford, Pennsylvania.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Timothy has worked at 7 firms and has passed the Series 66, 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) ROMOLA VALLEY SPORTSMEN'S CLUB, PO BOX 131 BEDMINSTER PA, 05/2024, PARTNER, HUNTING AND FISHING CLUB, NIR, 1 HR/MO 1 HR/MO TRADING 2) GRAND VIEW HEALTH FOUNDATION, 700 LAWN AVE SELLERSVILLE PA, 05/2024, BOARD MEMBER, VOLUNTEER, NIR, 1 HR/MO 1 HR/MO TRADING 3) FRANCONIA INSURANCE AND FINANCIAL SERVICES, 199 TELFORD PIKE TELFORD PA, 05/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 1 HR/MO 1 HR/MO TRADING 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING, 05/01/2024 5) SENIOR ADULT ACTIVITY CENTER OF INDIAN VALLEY INC, 259 2ND STREET SOUDERTON PA, 05/2024, TREASURER, CIVIC ENDEAVOR, NIR, 3 HR/MO 3 HR/MO TRADING 6) INDIAN VALLEY EDUCATION FOUNDATION, 760 Lower Road, Souderton PA 18964, United States, 11/01/2024, Committee Member, Volunteer, NIR, 1/MO - 1/Trading
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Vernon Swartley'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®
CFP®
Start date: 2003
Experience
Current
May 1, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 199 Telford Pike, Telford, PA 18969RIA
CRD#: 134139
Telford, PA
Current
May 1, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 199 Telford Pike, Telford, PA 18969BD
CRD#: 39543
Telford, PA
Past
June 29, 2023 - May 7, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
TELFORD, PA
Past
August 15, 2016 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
TELFORD, PA
Past
August 15, 2016 - May 7, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
TELFORD, PA
Past
March 27, 2015 - August 19, 2016
GIRARD PARTNERS LTD.
RIA
CRD#: 39163
SOUDERTON, PA
Past
October 2, 2012 - August 19, 2016
GIRARD PENSION SERVICES, LLC
RIA
CRD#: 117901
ALLENTOWN, PA
Past
September 5, 2012 - March 27, 2015
GIRARD INVESTMENT SERVICES, LLC
RIA
CRD#: 1834
SOUDERTON, PA
Past
February 28, 2000 - August 19, 2016
GIRARD INVESTMENT SERVICES, LLC
BD
CRD#: 1834
SOUDERTON, PA
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
Florida(5/1/2024)
RR
Maryland(5/1/2024)
RR
New York(5/1/2024)
RR
North Carolina(5/1/2024)
RR
Pennsylvania(5/1/2024)
IAR
Pennsylvania(5/1/2024)
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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Telford, PA 18969TRUST BUT VERIFY
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