DS
Douglas J. Sattler
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Queen Creek, AZ 85142
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CRD#: 4304008
DS
Professional summary
Douglas Jay Sattler, ChFC®, who also goes by Doug Sattler, Douglas J Sattler, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Queen Creek, Arizona and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Queen Creek, Arizona.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Douglas has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Sattler | Douglas J Sattler
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, 6/2016 AS ADVISORY REP OF A RIA. INV REL - 40 HR/WK - 30/TRADING.06/27/16
2.D&V FINANCIAL SERVICES LLC, 19802 E CARRIAGE WAY, QUEEN CREEK, AZ, 3/15/2006 AS OWNER/FINANCIAL PROFESSIONAL UTILIZING DBA NAME/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 40 HR/WK - 40/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Jay Sattler'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 30, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 18521 E Queen Creek Rd Ste 105-431, Queen Creek, AZ 85142RIA
CRD#: 134139
Queen Creek, AZ
Current
June 21, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 18521 E Queen Creek Rd Ste 105-431, Queen Creek, AZ 85142BD
CRD#: 39543
Queen Creek, AZ
Past
March 16, 2015 - April 20, 2015
PFG ADVISORS
RIA
CRD#: 173344
GILBERT, AZ
Past
January 30, 2009 - July 11, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
GILBERT, AZ
Past
January 20, 2009 - July 11, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
GILBERT, AZ
Past
June 21, 2006 - January 21, 2009
CUE FINANCIAL GROUP, INC.
RIA
CRD#: 21033
PHOENIX, AZ
Past
June 5, 2006 - January 21, 2009
CUE FINANCIAL GROUP, INC.
BD
CRD#: 21033
PHOENIX, AZ
Past
April 11, 2005 - June 7, 2006
NEW ENGLAND SECURITIES
BD
CRD#: 615
PHOENIX, AZ
Past
May 2, 2003 - April 7, 2005
OSAIC FA, INC.
RIA
CRD#: 3978
PHOENIX, AZ
Past
May 1, 2003 - April 7, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
May 1, 2003 - April 7, 2005
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
November 14, 2002 - May 15, 2003
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
September 6, 2002 - November 6, 2002
WADDELL & REED
RIA
CRD#: 866
PROVO, UT
Past
August 14, 2002 - November 6, 2002
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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(6/21/2016)
IAR
Arizona(6/30/2016)
RR
California(1/29/2024)
RR
Colorado(1/2/2025)
RR
Idaho(1/2/2025)
RR
Washington(1/2/2025)
Exams
State Security Law 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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Queen Creek, AZ 85142TRUST BUT VERIFY
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