SJ
Scott L. Johnson
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Mt Pleasant, IA 52641
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CRD#: 5274223
SJ
Professional summary
Scott Leslie Johnson, who also goes by Scott Johnson, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Mt Pleasant, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Mt Pleasant, Iowa.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Scott has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Johnson
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 - 20/WK - 0/TRADING. 08/01/17. 2.JOHNSON CAPITAL FINANCIAL, 604 N PKWY, WAYLAND, IA, 4/2013 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 3/WK - 3/TRADING. 3.WAYLAND ECONOMIC DEVELOPMENT COMMITTEE, 218 W MAIN ST, WAYLAND, IA, 1/2017 AS BOARD MEMBER DEVELOPING RELATIONSHIP WITH CURRENT AND POTENTIAL BUSINESS IN THE WAYLAND AREA. NIR - 5/MO - 0/TRADING. 4.SCOTT JOHNSON, WAYLAND, IA, 2/2012 SPEAK ON VARIOUS TOPICS RELATING TO THE BIBLE TO VARIOUS CONGREGATIONS AROUND THE OLDS, IA & WAYLAND, IA, AREAS. NIR - 10/MO - 0/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Leslie Johnson'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
August 1, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1255 James Ave, Mt Pleasant, IA 52641RIA
CRD#: 134139
Mt Pleasant, IA
Current
August 1, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Mt Pleasant, IA
Past
December 2, 2016 - August 1, 2017
D.H. HILL ADVISORS, INC.
RIA
CRD#: 116324
Mt. Pleasant, IA
Past
December 2, 2016 - August 1, 2017
D.H. HILL SECURITIES, LLLP
BD
CRD#: 41528
KINGWOOD, TX
Past
March 25, 2013 - December 9, 2016
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
WAYLAND, IA
Past
March 19, 2013 - December 9, 2016
INTEGRITY ALLIANCE, LLC.
RIA
CRD#: 139627
WAYLAND, IA
Past
February 17, 2011 - April 25, 2011
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
CORALVILLE, IA
Past
February 17, 2011 - April 25, 2011
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
CORALVILLE, IA
Past
April 13, 2007 - February 14, 2011
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
MT. PLEASANT, IA
Past
March 16, 2007 - February 14, 2011
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
MT. PLEASANT, IA
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
Florida(1/4/2021)
RR
Illinois(8/1/2017)
RR
Iowa(8/1/2017)
IAR
Iowa(8/1/2017)
RR
Missouri(8/3/2020)
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.
