RD
Richard C. Disharoon
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
KNOXVILLE, TN 37922-6901
Some features on this profile are disabled
CRD#: 4635655
RD
Professional summary
Richard Charles Disharoon, AIF®, CFP®, who also goes by Rick Charles Disharoon, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Knoxville, Tennessee and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Cookeville, Tennessee.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Richard has worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Charles Disharoon
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)SLATE, DISHAROON, PARRISH & ASSOCIATES 9724 KINGSTON PIKE, SUITE 701 KNOXVILLE, TN 37922. BEGAN 01/01/2012 AS INDEPENDENT INSURANCE AGENT THAT SELLS LIFE, DISABILITY AND ONG TERM CARE INSURANCE PRODUCTS. NOT INVESTMENT RELATED. DEVOTES 4 HRS/WK. 4 HRS DURING TRADING. 2)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-15/WK-1/TRADING hr. 05/01/09 3)OBA NAMERICHARD DISHAROON, Knoxville TN 37922, 11/2024, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 6 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Charles Disharoon'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®
CFP®
Start date: 2008
Experience
Current
April 24, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 9724 Kingston Pike Franklin Square - Suite 1011, Knoxville, TN 37922-6901Office #2: 136 E Spring St., Cookeville, TN 38501RIA
CRD#: 134139
KNOXVILLE, TN
Current
April 24, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 136 E Spring St., Cookeville, TN 38501Office #2: 9724 Kingston Pike Ste 701, Knoxville, TN 37922BD
CRD#: 39543
Cookeville, TN
Past
March 9, 2005 - May 1, 2009
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
KNOXVILLE, TN
Past
April 28, 2004 - May 1, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
KNOXVILLE, TN
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
Alabama(8/4/2015)
RR
Arizona(6/9/2010)
RR
Arkansas(6/9/2010)
RR
California(4/24/2009)
RR
Colorado(11/18/2021)
RR
District of Columbia(1/11/2017)
RR
Florida(4/24/2009)
RR
Georgia(4/24/2009)
RR
Hawaii(9/17/2020)
RR
Illinois(11/20/2017)
RR
Indiana(1/6/2022)
RR
Kansas(1/4/2016)
RR
Kentucky(4/24/2009)
RR
Maryland(6/9/2010)
RR
Michigan(1/2/2013)
RR
Minnesota(6/9/2010)
RR
Mississippi(8/16/2018)
RR
Missouri(1/2/2014)
RR
Nebraska(9/24/2025)
RR
New Jersey(4/24/2009)
RR
New Mexico(5/22/2018)
RR
New York(3/23/2010)
RR
North Carolina(6/9/2010)
RR
Ohio(6/9/2010)
RR
Pennsylvania(3/29/2017)
RR
South Carolina(6/28/2013)
RR
Tennessee(4/24/2009)
IAR
Tennessee(4/24/2009)
RR
Texas(1/3/2012)
IAR
Texas(1/3/2012)
RR
Virginia(4/24/2009)
RR
Washington(11/20/2018)
RR
West Virginia(6/9/2010)
RR
Wisconsin(3/23/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Knoxville, TN 37922-6901TRUST BUT VERIFY
Monitor Richard Disharoon
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
