SR
Shelby J. Rothman
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Glendale, CA 91210
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CRD#: 4166632
SR
Professional summary
Shelby Joy Rothman, AIF®, CFP®, who also goes by Shelby Rothman Murdock, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Glendale, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Burbank, California.
Shelby is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Shelby has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shelby Rothman Murdock
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. INDEPENDENT INSURANCE AGENT, 24291 VIA SAN CLEMENTE, MISSION VIEJO, CA, 4/2005 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3 HR/MO - 3/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40 HR/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3. SURVEY SQUAD, CALIFORNIA, ONE HOUR OF INVESTMENT RESEARCH SURVEY FOR fp'S, 1/YR- 1/TRADING 4. ENJOY FINANCIAL, 100 W. Broadway Ave., Suite 500, Glendale CA 91210, United States, 10/02/2023, Owner, Owner/Partner of a Business Entity, NIR, 160 HR/MO - 80 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Shelby Joy Rothman'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®
Experience
Current
June 20, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 100 W Broadway Ste. 500, Glendale, CA 91210Office #2: 1800 West Magnolia Blvd., Burbank, CA 91506RIA
CRD#: 134139
Glendale, CA
Current
June 17, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1800 West Magnolia Blvd., Burbank, CA 91506Office #2: 100 West Broadway Ste 500, Glendale, CA 91210BD
CRD#: 39543
Burbank, CA
Past
January 27, 2009 - June 17, 2011
WFP SECURITIES
RIA
CRD#: 35098
SAN DIEGO, CA
Past
January 26, 2009 - June 17, 2011
WFP SECURITIES
BD
CRD#: 35098
SAN DIEGO, CA
Past
May 22, 2006 - January 15, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
DIAMOND BAR, CA
Past
April 14, 2000 - January 15, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
DIAMOND BAR, CA
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(7/21/2014)
RR
California(6/17/2011)
IAR
California(6/20/2011)
RR
Colorado(1/3/2018)
RR
Florida(1/3/2019)
IAR
Florida(3/5/2020)
RR
Georgia(6/30/2020)
RR
Hawaii(7/29/2016)
RR
Idaho(6/10/2021)
RR
Illinois(7/14/2017)
RR
Indiana(11/18/2020)
RR
Iowa(6/9/2023)
RR
Missouri(10/15/2021)
RR
Montana(6/21/2011)
RR
Nevada(9/21/2021)
RR
New Hampshire(7/29/2021)
RR
New Jersey(2/27/2020)
RR
New York(4/28/2020)
RR
North Carolina(8/27/2020)
RR
Ohio(7/27/2021)
RR
Oregon(6/17/2011)
RR
Pennsylvania(4/28/2020)
RR
South Carolina(4/28/2020)
RR
Tennessee(7/14/2021)
IAR
Texas(8/29/2017)
RR
Texas(8/30/2017)
RR
Utah(6/22/2021)
RR
Virginia(4/9/2019)
RR
Washington(3/1/2012)
RR
Wisconsin(8/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
