MW
Mary E. Wagner
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 4183071
MW
Professional summary
Mary E. Wagner, AIF®, who also goes by Mary Ellen Ward, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Wayne, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Wayne, Pennsylvania.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Mary has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mary Ellen Ward
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. VALLEY CREEK ADVISORS, 550 E SWEDESFORD RD STE 130, WAYNE, PA, 12/2014 AS OWNER/FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL - 40/WK - 40/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 3. INDEPENDENT INSURANCE AGENT, 550 E SWEDESFORD RD STE 130, WAYNE, PA, 10/2018. FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-4/MO-4/TRADING. 4. AMERICAN SWEDISH HISTORICAL MUSEUM, 1900 PATTISON AVE, PHILADELPHIA, PA, BOARD MEMBER OF A PUBLIC ENTITY, NIR, 09/13/20, 1/MO- 0/TRADING 5. MARY WAGNER, 1107 W Valley Road, Wayne, PA., 12/2021, Owner, Real Estate Rental Property, NIR, 2 HR/MO , 2 HR/MO Trading. 6. SOFAUSA-SOCIETY FOR FINANCIAL AWARENESS, 1107 W Valley Road, Wayne PA 19087, United States, 04/01/2022, Educator, Author/Educator/Podcast/Speaker, NIR, 3 HR/MO - 3 HR/MO TRADING 7. EMERGENCY AID OF PA, 221 Conestoga Road, Suite 300, Wayne PA 19087, 11/2022, Board Member, NIR, 1 HR/MO - 0 HR/MO Tradng.
CRS (Client Relationship Summary) - RIA
Click below to view Mary E. Wagner'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
October 18, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1107 W. Valley Rd, Wayne, PA 19087RIA
CRD#: 134139
Wayne, PA
Current
October 17, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1107 W. Valley Road, Wayne, PA 19087BD
CRD#: 39543
Wayne, PA
Past
August 11, 2017 - November 30, 2018
SUMMIT GROUP RETIREMENT PLANNERS, INC.
RIA
CRD#: 169823
Wayne, PA
Past
December 19, 2014 - July 25, 2017
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
WAYNE, PA
Past
December 16, 2014 - November 15, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
WAYNE, PA
Past
April 6, 2004 - December 19, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
KING OF PRUSSIA, PA
Past
April 5, 2004 - December 19, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
KING OF PRUSSIA, PA
Past
December 13, 2002 - April 2, 2004
IFMG SECURITIES, INC.
RIA
CRD#: 14416
PHILADELPHIA, PA
Past
December 13, 2002 - April 2, 2004
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
December 1, 2000 - October 18, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 10, 2000 - October 9, 2000
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, 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
Arizona(9/30/2019)
RR
California(10/22/2020)
RR
Colorado(1/4/2022)
RR
Florida(10/17/2018)
RR
Georgia(4/11/2023)
RR
Maryland(10/17/2018)
RR
Michigan(8/30/2023)
RR
Nebraska(1/13/2025)
RR
New Jersey(10/17/2018)
RR
North Carolina(1/4/2022)
RR
Ohio(10/17/2018)
RR
Pennsylvania(10/18/2018)
IAR
Pennsylvania(10/18/2018)
IAR
Texas(1/2/2025)
RR
Texas(1/3/2025)
RR
Virginia(12/23/2024)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
