SD
Susan E. Dougherty
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Shamong, NJ
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CRD#: 4768853
SD
Professional summary
Susan Elizabeth Dougherty, ChFC®, who also goes by Susan Elizabeth Galda, Susan Elizabeth Mccann, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Shamong, New Jersey and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fairfield, Iowa.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Susan has worked at 7 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Elizabeth Galda | Susan Elizabeth Mccann
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, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. 04/03/17. 2. SUSAN DOUGHERTY, 109 STRAWBERRY DR, SHAMONG, NJ, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, SOLE PROP, NIR, 3/YR, 0/TRADING 3. ST MARY OF THE LAKES CHURCH, 40 Jackson Road, Medford NJ 08055, United States, START DATE: 01/01/2022, volunteer collection counter, Volunteer, INV REL, 4 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Susan Elizabeth Dougherty'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
April 3, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 1776 Pleasant Plain Rd, Fairfield, IA 52556-8757RIA
CRD#: 134139
Shamong, NJ
Current
April 3, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1776 Pleasant Plain Rd., Fairfield, IA 52556-8757Office #2: 1776 Pleasant Plain Rd, Fairfield, IA 52556-8757BD
CRD#: 39543
Fairfield, IA
Past
December 1, 2006 - April 13, 2017
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
CHERRY HILL, NJ
Past
June 29, 2006 - April 13, 2017
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
VOORHEES, NJ
Past
May 8, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
VOORHEES, NJ
Past
October 20, 2004 - May 9, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
HADDONFIELD, NJ
Past
October 20, 2004 - May 9, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
HADDONFIELD, NJ
Past
June 2, 2004 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
HADDONFIELD, NJ
Past
April 20, 2004 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
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
Iowa(4/3/2017)
IAR
Iowa(4/3/2017)
RR
Massachusetts(8/28/2019)
RR
New Hampshire(4/26/2017)
RR
New Jersey(4/3/2017)
IAR
New Jersey(4/4/2017)
RR
Vermont(2/13/2020)
RR
Washington(8/2/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
