ER
Elaine Roecklein
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Manassas, VA 20110
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CRD#: 4953322
ER
Professional summary
Elaine Roecklein, who also goes by Elaine Klein, Lanie May, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Manassas, Virginia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Manassas, Virginia.
Elaine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Elaine has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elaine Klein | Lanie May
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. LA FITNESS, 11010 VEIRS MILL RD, WHEATON, MD, FITNESS INSTRUCTOR, 09/01/12, NIR, 4 HR/WK- 0/TRADING HR. 2. UNITED NATION INTERNATIONAL PAGEANT, 100 CAMERON AVE, NORTH HAMILTON, ONTARIO CANADA, SILVER SPRING, MD, 120 HR/YR- 0/TRADING HR. 3. ELAINA ROECKLEIN, 9903 BLUNDON DRIVE, #201, SILVER SPRING, MD, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 01/01/05, 5 HR/MO- 0/TRADING HR. 4. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 05/03/16 5. INSURANCE / 9219 Center Street, Apt 201, Manassas VA 20110 / 02/04/2022 / INV REL / INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES / 5 HR/MO - 2 HR/MO TRADING 6. ELAINE ROECKLEIN, 9466 GEORGIA AVENUE, #60, SILVER SPRING MD 20910, United States, 04/17/2023, Investment Advisor Representative, Notary, NIR, 1 HR/MO - 1 HR/MO TRADING 7. ATLANTIC CAPITAL PARTNERS LLC, 9219 Center Street, Manassas, VA, 10/2023, USING A TRADE NAME/DBA, NIR, 10 HR/MO - 10 HR TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Elaine Roecklein'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
January 3, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 9219 Center St., Manassas, VA 20110Office #2: 8201 Peters Rd. Ste. 1000, Plantation, FL 33324RIA
CRD#: 134139
Manassas, VA
Current
October 4, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 9219 Center St, Manassas, VA 20110BD
CRD#: 39543
Manassas, VA
Past
October 4, 2019 - January 2, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Brunswick, MD
Past
June 11, 2018 - October 9, 2019
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
SILVER SPRING, MD
Past
June 11, 2018 - October 9, 2019
FSC SECURITIES CORPORATION
BD
CRD#: 7461
SILVER SPRING, MD
Past
June 7, 2018 - June 7, 2018
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
BRUNSWICK, MD
Past
June 7, 2018 - June 7, 2018
FSC SECURITIES CORPORATION
BD
CRD#: 7461
BRUNSWICK, MD
Past
May 2, 2016 - June 29, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Lutherville, MD
Past
May 2, 2016 - June 29, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Lutherville, MD
Past
August 1, 2012 - May 2, 2016
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
ROCKVILLE, MD
Past
October 25, 2010 - May 3, 2016
RESEARCH FINANCIAL STRATEGIES
RIA
CRD#: 153247
ROCKVILLE, MD
Past
September 30, 2010 - August 7, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
ROCKVILLE, MD
Past
September 23, 2010 - September 23, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROCKVILLE, MD
Past
April 26, 2010 - September 9, 2010
QA3 FINANCIAL LLC
RIA
CRD#: 104957
OMAHA, NE
Past
April 26, 2010 - September 9, 2010
QA3 FINANCIAL CORP.
BD
CRD#: 14754
GAITHERSBURG, MD
Past
October 15, 2007 - April 30, 2010
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
GAITHERSBURG, MD
Past
February 22, 2007 - April 30, 2010
SECURITIES AMERICA, INC.
BD
CRD#: 10205
GAITHERSBURG, MD
Past
May 18, 2005 - January 18, 2007
OSAIC WEALTH, INC.
BD
CRD#: 23131
GAITHERSBURG, 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
Alabama(11/15/2024)
RR
District of Columbia(1/30/2025)
IAR
Florida(2/16/2024)
RR
Florida(3/14/2024)
RR
Georgia(11/22/2024)
RR
Maryland(10/4/2019)
RR
Pennsylvania(1/30/2025)
RR
Texas(4/18/2024)
IAR
Texas(4/18/2024)
RR
Virginia(10/4/2019)
IAR
Virginia(1/3/2022)
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
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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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Manassas, VA 20110TRUST BUT VERIFY
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