SA
Steven P. Arengo
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Mason, OH
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CRD#: 4177057
SA
Professional summary
Steven Patrick Arengo, AIF®, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Mason, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Mason, Ohio.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 6 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, AS ADVISORY REP OF A RIA. INV REL - 60/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2.INDEPENDENT INSURANCE AGENT, 5450 CRESTWOOD DR, MASON, OH, 10/2017 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/WK - 1/TRADING. 3.FLORIDA CITRUS SPORTS, ONE CITRUS BOWL PL, ORLANDO, FL, 7/2011 SCOUTING PROSPECTIVE PARTICIPANTS TO PLAY IN BOWL GAMES. NIR - 6/YR - 0/TRADING. 4.THE PREFERRED ELITE LLC, 5450 CRESTWOOD DR, MASON, OH, 1/2016 AS OWNER CREATING AN ONLINE NATIONAL YOUTH SPORTS DIRECTORY. NIR - 1/WK - 0/TRADING. 5.DAVID BRADLEY WICK FOUNDATION, 7655 HAMPTON PL LN, CINCINNATI, OH, 1/1998 AS TRUSTEE, HELPING TO MANAGE GOLF OUTING AND SCHOLARSHIP PROGRAM FOR FOUNDATION. NIR - 10/YR - 0/TRADING. 6.SHARON ARENGO, Mason OH 45040, 12/2023, Marketing, Retail Sales/Distribution, NIR, 2 HR/MO - 1 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Patrick Arengo'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: 2012
Experience
Current
November 1, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Mason, OH
Current
November 1, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Mason, OH
Past
May 15, 2012 - November 3, 2017
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
CINCINNATI, OH
Past
May 15, 2012 - November 3, 2017
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
CINCINNATI, OH
Past
March 28, 2005 - May 31, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
CINCINNATI, OH
Past
July 31, 2001 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
CINCINNATI, OH
Past
July 12, 2001 - May 31, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
CINCINNATI, OH
Past
May 3, 2000 - July 12, 2001
ENERIC FINANCIAL SERVICES, INC.
BD
CRD#: 11761
FAIRFIELD, IA
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
California(11/1/2017)
RR
Colorado(11/1/2017)
RR
Florida(11/1/2017)
RR
Georgia(7/26/2023)
RR
Illinois(11/1/2017)
RR
Indiana(11/1/2017)
RR
Kentucky(1/2/2018)
RR
Maryland(11/1/2017)
RR
Massachusetts(1/2/2025)
RR
Minnesota(1/13/2022)
RR
Nevada(8/5/2019)
RR
New Jersey(11/1/2017)
RR
New York(11/1/2017)
RR
North Carolina(1/2/2025)
RR
Ohio(11/1/2017)
IAR
Ohio(11/1/2017)
RR
Oklahoma(8/6/2018)
RR
Pennsylvania(1/2/2018)
RR
South Carolina(1/2/2018)
RR
Tennessee(11/1/2017)
RR
Texas(11/1/2017)
IAR
Texas(11/1/2017)
RR
Virginia(1/2/2018)
Exams
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
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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.
