LM
Lisa A. Mcgrath
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Amana, IA 52203
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CRD#: 5294394
LM
Professional summary
Lisa Ann Mcgrath, CFP®, who also goes by Lisa Ann Smyth, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Amana, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Amana, Iowa.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Lisa has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Ann Smyth
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) LONGVIEW FINANCIAL SERVICES, INC. 4304 220 TRAIL, STE 5 PO BOX 330, AMANA, IA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES,INV REL, 10/01/14, 10/WK- 10/TRADING 2) AMANA COLONIES HISTORICAL SITES FOUNDATION, 4304-220TH TRAIL, PO BOX 28, AMANA, IA, BOARD MEMBER OF A NON-PUBLIC ENTITY, NIR, 05/01/00, 2/MO- 1/TRADING 3) MARY KAY, 16251 DALLAS PARKWAY, ADDISON, TX, COSMETIC CONSULTANT, NIR, 05/01/06, 4/YR- 0/TRADING 4) LONGVIEW FINANCIAL SERVICES, 4304 220TH TRAIL, STE 5, PO BOX 330, AMANA, IA, DBA-S CORP INV REL- 10/01/15, 50/WK- 32.5/TRADING 5) LONGVIEW FINANCIAL SERVICES, INC. 4304-220TH TRAIL, STE 5, PO BOX 330, AMANA, IA, CPA/ENROLLED AGENT/TAX PREP/ACCOUNTING SERVICES- NIR, 01/30/95, CPA-1/YR- 0/TRADING 6) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 06/26/20
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Ann Mcgrath'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®
Experience
Current
June 26, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 4304-220th Tr. Ste. 5, Amana, IA 52203RIA
CRD#: 134139
Amana, IA
Current
June 26, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 4304-220th Tr. Ste. 5, Amana, IA 52203BD
CRD#: 39543
Amana, IA
Past
April 2, 2013 - July 1, 2020
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
AMANA, IA
Past
October 21, 2008 - July 1, 2020
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
AMANA, 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
Arizona(6/26/2020)
RR
Florida(6/26/2020)
RR
Georgia(6/26/2020)
RR
Illinois(6/26/2020)
RR
Indiana(10/12/2022)
RR
Iowa(6/26/2020)
IAR
Iowa(6/26/2020)
RR
Kansas(9/6/2024)
RR
Michigan(6/26/2020)
RR
Minnesota(6/26/2020)
RR
Missouri(6/26/2020)
RR
New Hampshire(3/13/2025)
RR
North Carolina(1/2/2025)
RR
Ohio(6/26/2020)
RR
Oklahoma(5/15/2023)
RR
Oregon(1/2/2024)
RR
Texas(11/18/2021)
IAR
Texas(11/18/2021)
RR
Virginia(9/14/2022)
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Amana, IA 52203TRUST BUT VERIFY
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