SC
Steven D. Crabtree
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Middletown, CT 06457
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CRD#: 5060519
SC
Professional summary
Steven Dee Crabtree is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Middletown, Connecticut and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Middletown, Connecticut.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Steven has worked at 6 firms and has passed the Series 66, 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.
1)CARTWHEEL, MIDDLETOWN, CT, SINCE 4/2013. BAND MEMBER - NOT INVESTMENT RELATED - DEVOTES 2 HR/WK - NONE DURING TRADING.
2)FIRST CHURCH OF CHRIST, MIDDLETOWN, CT, SINCE 5/2012. COMMITTEE MEMBER - NON-PROFIT - DEVOTES 2 HR/MO - NONE DURING TRADING.
3)FIRST CHURCH OF CHRIST, 190 CHURCH ST, MIDDLETOWN, CT, CHAIR OF FIRST CHURCH ENDOWMENT SUBCOMMITTEE, NIR, 05/27/20, 1/MO- 0/TRADING
4)CONDOMINIUM RENTAL, VERNON, CT, SINCE 9/2012. OWNER - NOT INVESTMENT RELATED - DEVOTES 24 HR/YR - NONE DURING TRADING.
5)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES
6)THE RIVER SUITE WEALTH PARTNERS, 505 MAIN ST, MIDDLETOWN, CT, SINCE 5/2015 AS 50% OWNER OF INSURANCE DBA. NIR - DEVOTES 10 HR/MO - 6 HR/TRADING.
7)RENTAL PROPERTY OWNER, FORT MYERS, FL, 11/2018. NIR - 5/MO - 0/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Dee Crabtree'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
May 4, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 32 Washington St. Ste C, Middletown, CT 06457RIA
CRD#: 134139
Middletown, CT
Current
May 4, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 32 Washington St., Ste C, Middletown, CT 06457BD
CRD#: 39543
Middletown, CT
Past
April 20, 2012 - May 15, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
MIDDLETOWN, CT
Past
April 20, 2012 - May 15, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
MIDDLETOWN, CT
Past
October 23, 2009 - April 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIDDLETOWN, CT
Past
October 23, 2009 - April 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIDDLETOWN, CT
Past
March 20, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
MIDDLETOWN, CT
Past
March 20, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
MIDDLETOWN, CT
Past
March 24, 2006 - March 26, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
EAST HARTFORD, CT
Past
January 19, 2006 - March 26, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
EAST HARTFORD, CT
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
California(5/4/2015)
RR
Connecticut(5/4/2015)
IAR
Connecticut(5/4/2015)
RR
Florida(5/4/2015)
RR
Maine(7/10/2025)
RR
North Carolina(7/14/2025)
IAR
Texas(6/19/2015)
RR
Texas(6/30/2015)
Exams
State Security Law 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
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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.
