CC
Christa M. Coates
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Poughkeepsie, NY
Some features on this profile are disabled
CRD#: 4442764
CC
Professional summary
Christa M Coates, who also goes by Christa M Amodeo, Christa Marie Pladel, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Poughkeepsie, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Poughkeepsie, New York.
Christa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Christa has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christa M Amodeo | Christa Marie Pladel
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. WEALTH-LEGACY PLANNING LLC, 205 Titusville Rd, Poughkeepsie NY 12603, United States, 07/11/2024, Owner, Owner/Partner of a Business Entity, NIR, 10 HR/MO - 10 HR/MO TRADING 2.WEALTH-LEGACY, INC., 205 Titusville Rd, Poughkeepsie NY 12603, United States, Secretary, Board Member/Officer/Director/Committee Member/Board Trustee, 5 HR/MO - 0 HR/MO TRADING 3. NC STARLING STUDIOS LLC, 205 Titusville Rd, Poughkeepsie NY 12603, United States, 02/13/2020, Owner, Real Estate, NIR, 1 HR/MO TRADING 4. MADELINE'S DANCE CENTER, P.O. Box 960, Marlboro NY 12542, United States, 09/05/2022, W2 Employee, NIR, 25 HR/MO - 0 TRADING 5. CHRISTA COATES, 205 Titusville Rd, Poughkeepsie NY 12603, United States, 04/05/2024, Agent, Insurance/Benefits/Human Resources, NIR, 4 HR/MO - 4 TRADING 6. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 07/12/2024
CRS (Client Relationship Summary) - RIA
Click below to view Christa M Coates'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 12, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Poughkeepsie, NY
Current
July 12, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Poughkeepsie, NY
Past
June 5, 2024 - July 12, 2024
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Poughkeepsie, NY
Past
June 5, 2024 - July 12, 2024
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Poughkeepsie, NY
Past
June 14, 2021 - June 12, 2024
OSAIC FA, INC.
RIA
CRD#: 3978
POUGHKEEPSIE, NY
Past
August 23, 2013 - June 12, 2024
OSAIC FA, INC.
BD
CRD#: 3978
POUGHKEEPSIE, NY
Past
December 22, 2009 - August 22, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
FISHKILL, NY
Past
March 8, 2005 - December 15, 2009
OSAIC FA, INC.
RIA
CRD#: 3978
RYE BROOK, NY
Past
March 8, 2005 - April 19, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
March 8, 2005 - December 15, 2009
OSAIC FA, INC.
BD
CRD#: 3978
RYE BROOK, NY
Past
September 4, 2001 - March 1, 2005
M&T SECURITIES, INC.
BD
CRD#: 17358
BALTIMORE, MD
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
Connecticut(7/12/2024)
RR
Florida(7/12/2024)
RR
Georgia(7/12/2024)
RR
Louisiana(7/12/2024)
RR
Maine(1/17/2025)
RR
Maryland(7/12/2024)
RR
Minnesota(7/12/2024)
RR
New Jersey(7/12/2024)
RR
New York(7/12/2024)
IAR
New York(7/12/2024)
RR
North Carolina(7/15/2024)
RR
Oregon(7/12/2024)
RR
Pennsylvania(7/12/2024)
RR
Tennessee(8/16/2024)
RR
Virginia(7/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
