RM
Raymond W. Mark
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Greenwood, IN 46142
Some features on this profile are disabled
CRD#: 5152555
RM
Professional summary
Raymond W Mark, CFP®, who also goes by Ray Mark, Raymond Mark, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Greenwood, Indiana and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Carmel, Indiana.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Raymond has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ray Mark | Raymond Mark
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) INDEPENDENT INSURANCE AGENT, 600 E CARMEL DR, CARMEL, IN, 1/2010 FOR VARIOUS INSURANCE COMPANIES. INV REL - 5/MO - 0/TRADING. 2) M ACCOUNTING GROUP LLC, 600 E CARMEL DR, STE 163, CARMEL, IN, 12/2017 AS OWNER PROVIDING TAX, PAYROLL, AND BOOKKEEPING SERVICES. NIR - 100/MO - 0/TRADING. 3) MARK CONSULTING, LLC. NOBLESVILLE, IN. STARTED 1/2006 AS OWNER. PERFORM VARIOUS CONSULTING WORK RELATED TO ACCOUNTING, BOOK KEEPING, MANAGEMENT ADMINISTRATION ON A FEE OR PER HOUR BASIS. SPENDS 20 HR/MO, NONE DURING TRADING. 4) Mark Consulting2, LLC dba M Financial, MANAGING MEMBER, 600 E. Carmel Drive Suite 163 Carmel IN, INV REL, 12/28/2012, 160 HR/MO- 32 TRADING HR. Marketing of RR/IAR Services as well as establishing an entity for expenses 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. 01/21/2017
CRS (Client Relationship Summary) - RIA
Click below to view Raymond W Mark'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: 2006
Experience
Current
January 22, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 3209 Smith Valley Rd., Greenwood, IN 46142Office #2: 600 E Carmel Drive Ste 163, Carmel, IN 46032RIA
CRD#: 134139
Greenwood, IN
Current
January 22, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 600 E Carmel Drive Ste 163, Carmel, IN 46032BD
CRD#: 39543
CARMEL, IN
Past
November 13, 2008 - January 22, 2015
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
GREENWOOD, IN
Past
November 13, 2008 - January 22, 2015
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
GREENWOOD, IN
Past
November 16, 2006 - November 10, 2015
FINANCIAL PLANS & STRATEGIES, INC.
RIA
CRD#: 123793
GREENWOOD, IN
Past
September 11, 2006 - November 18, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
GREENWOOD, IN
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(9/25/2019)
RR
California(1/22/2015)
RR
Colorado(5/24/2017)
RR
Florida(1/4/2016)
RR
Georgia(2/11/2025)
RR
Illinois(7/8/2020)
RR
Indiana(1/22/2015)
IAR
Indiana(1/22/2015)
RR
Kansas(1/22/2015)
RR
Maryland(1/22/2015)
RR
Massachusetts(1/22/2015)
RR
Missouri(1/22/2015)
RR
Montana(2/11/2020)
RR
New York(1/22/2015)
RR
North Carolina(9/13/2021)
RR
Ohio(1/22/2015)
RR
Pennsylvania(1/22/2015)
RR
Texas(1/3/2017)
IAR
Texas(1/3/2017)
RR
Washington(3/23/2022)
RR
Wisconsin(1/2/2018)
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.
