CS
Cindy S. Shi
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
CUPERTINO, CA 95014
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CRD#: 4231195
CS
Professional summary
Cindy Shu-way Shi, who also goes by Cindy S Shi, Shu-way Shi, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Cupertino, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Cupertino, California.
Cindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Cindy has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cindy S Shi | Shu-Way Shi
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) ONE STOP FINANCIAL SERVICES INC, 20045 STEVENS CREEK BLVD, STE 2G, CUPERTINO, CA, 11/2003 AS CPA/OWNER OF TAX PREPARATION BUSINESS. INV REL - 30 HR/WK - 10/TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 7/2012 AS ADVISORY REP OF A RIA. INV REL - 10 HR/MO - 10/TRADING. 3.) AIG PARTNERS GROUP/AIXIN INSURANCE SERVICES INC. , AMERICAN GENERAL CTR, NASHVILLE, TN, 12/2012 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 20 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Cindy Shu-way Shi'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
July 31, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 20045 Stevens Creek Blvd Ste 2g, Cupertino, CA 95014RIA
CRD#: 134139
CUPERTINO, CA
Current
July 30, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 20045 Stevens Creek Blvd Ste 2g, Cupertino, CA 95014BD
CRD#: 39543
Cupertino, CA
Past
February 25, 2010 - July 5, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
REDWOOD CITY, CA
Past
February 24, 2010 - July 5, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
REDWOOD CITY, CA
Past
October 9, 2008 - February 25, 2010
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
CUPERTINO, CA
Past
October 8, 2008 - February 25, 2010
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
CUPERTINO, CA
Past
March 8, 2007 - February 13, 2009
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CUPERTINO, CA
Past
November 16, 2005 - November 6, 2008
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CUPERTINO, 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
California(7/30/2012)
IAR
California(7/31/2012)
RR
Kansas(1/3/2020)
RR
New York(2/13/2024)
RR
Ohio(1/3/2020)
RR
Utah(11/19/2019)
RR
Washington(11/6/2020)
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
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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.
