RS
Robert D. Soerens
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Franklin, TN 37064
Some features on this profile are disabled
CRD#: 4369351
RS
Professional summary
Robert Douglas Soerens, who also goes by Rob Soerens, Robert D Soerens, Robert Douglas Soerens, Robert D Sorens, Robert Soerens, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Franklin, Tennessee and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Franklin, Tennessee.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Robert has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Soerens | Robert D Soerens | Robert Douglas Soerens | Robert D Sorens | Robert Soerens
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) GATEWAY FINANCIAL ADVISORS INC, 1613 CHAMPIONSHIP BLVD FRANKLIN TN 37064, 06/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 5 HR/WK 2 HR TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA 52556, 06/2023, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 3) ROBERT SOERENS DBA ROBERT SOERENS, 1006 CLIFTON STREET FRANKLIN TN 37064, 06/2023, Insurance/Benefits/Human Resources, Insurance/Benefits/Human Resources, NIR, 4 HR/MO - 4 HR/MO TRADING 4) CLIFTON STREET WEALTH MANAGEMENT, 1907 Eliot Rd, Franklin TN 37064, 02/2024, DIRECTOR, DBA, INV REL, 160 HR/MO 40 HR/MO TRADING 5) GATEWAY FINANCIAL ADVISORS LLC, 1613 Championship Blvd, Franklin TN 37064, United States, 04/17/2025, Agent, Insurance/Benefits/Human Resources, NIR, 5HR/MO 2HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Robert Douglas Soerens'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
June 9, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1613 Championship Blvd., Franklin, TN 37064RIA
CRD#: 134139
Franklin, TN
Current
June 9, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Franklin, TN
Past
August 25, 2021 - June 13, 2023
SAGESPRING WEALTH PARTNERS
RIA
CRD#: 283515
Brentwood, TN
Past
August 24, 2021 - June 8, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
FRANKLIN, TN
Past
July 27, 2017 - July 1, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BRENTWOOD, TN
Past
July 25, 2017 - July 1, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BRENTWOOD, TN
Past
February 1, 2016 - May 1, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
INDIANAPOLIS, IN
Past
January 4, 2016 - May 1, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
INDIANAPOLIS, IN
Past
June 8, 2001 - February 12, 2003
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
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(1/2/2025)
RR
Tennessee(6/9/2023)
IAR
Tennessee(6/9/2023)
RR
Texas(6/9/2023)
IAR
Texas(6/9/2023)
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.
