Travis W. Soppe

CUMBIE ADVISORY SERVICES,

Fort Worth, TX 76102-4905

Some features on this profile are disabled

CRD#: 4839935

Professional summary

Travis W Soppe, AIF®, CFP® is a registered financial advisor currently at CUMBIE ADVISORY SERVICES, INC located in Fort Worth, Texas and RHODES SECURITIES, INC. located in Ft Worth, Texas.

Travis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Travis has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Travis W Soppe'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

January 5, 2017 - Present

CUMBIE ADVISORY SERVICES, INC

Office #1: 306 West 7th Street Suite 442, Fort Worth, TX 76102-4905

RIA

CRD#: 142606

Fort Worth, TX

Current

January 24, 2012 - Present

RHODES SECURITIES, INC.

Office #1: 306 West 7th Street Suite 442, Ft Worth, TX 76102

CRD#: 19610

Ft Worth, TX

Past

April 3, 2012 - December 31, 2016

CUMBIE ADVISORY SERVICES, INC

RIA

CRD#: 142606

FORT WORTH, TX

Past

February 2, 2012 - October 17, 2012

RHODES INVESTMENT ADVISORS, INC.

RIA

CRD#: 114245

FORT WORTH, TX

Past

November 16, 2009 - January 18, 2012

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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.

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

California
(5/9/2022)

Ohio
(11/1/2019)

Texas
(1/24/2012)

IAR

Texas
(1/5/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/25/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CUMBIE ADVISORY SERVICES, INC

CRD#: 142606 / SEC#:

Texas

Registered Investment Advisory firm - (1/5/2017 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

306 West 7th Street Suite 442, Fort Worth, TX 76102-4905

Mailing Address

Phone number

(817) 335-1181

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

James Moore

EDWARD JONES

IAR

Ft Worth, TX

Sean Leonard

LPL FINANCIAL LLC

IAR

Hurst, TX

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Travis W. Soppe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Travis W Soppe's CRS (Customer Relationship Summary).

Certified licenses

Experience

CUMBIE ADVISORY SERVICES, INC

RHODES SECURITIES, INC.

CUMBIE ADVISORY SERVICES, INC

RHODES INVESTMENT ADVISORS, INC.

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/25/2010

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2009

FINRA

Current Firm

CUMBIE ADVISORY SERVICES, INC

Contact information

Documents

Red Flags

Company Information

CUMBIE ADVISORY SERVICES, INC

TRUST BUT VERIFY

Similar Advisors