RM
Robert A. Mann
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Fort Mill, SC 29708
Some features on this profile are disabled
CRD#: 5587271
RM
Professional summary
Robert Alexander Mann, who also goes by Alex Mann, R. Alex Mann, Robert A Mann, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Fort Mill, South Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fort Mill, South Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex Mann | R. Alex Mann | Robert A Mann
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) INSURANCE, 936 MARKET ST SUITE 207 FORT MILL SC 29708, 07/2010, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 20 HR/MONTH 1 HR/MONTH TRADING 2) CIRA / 1776 PLEASANT PLAIN RD, FAIRFIELD, IA 52556 / AS ADVISORY REP OF A RIA / INV REL / 160 HR/MO - 120 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 3) MANN CAPITAL MANAGMENT (DBA), 936 Market St., Suite 207, FORT MILL SC 29708-6564, United States, 03/14/2022, IAR, DBA, INV REL, 40/MO - 2/Trading
CRS (Client Relationship Summary) - RIA
Click below to view Robert Alexander Mann'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
March 15, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 936 Market St. Suite 207, Fort Mill, SC 29708RIA
CRD#: 134139
Fort Mill, SC
Current
March 15, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 936 Market St. Suite 207, Fort Mill, SC 29708BD
CRD#: 39543
Fort Mill, SC
Past
December 24, 2015 - March 15, 2022
OSAIC FS, INC.
RIA
CRD#: 3870
CHARLOTTE, NC
Past
December 24, 2015 - March 15, 2022
OSAIC FS, INC.
BD
CRD#: 3870
CHARLOTTE, NC
Past
December 19, 2012 - December 28, 2015
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
RIA
CRD#: 131631
CHARLOTTE, NC
Past
July 13, 2012 - December 28, 2015
CAPITAL GUARDIAN, LLC
BD
CRD#: 137919
CHARLOTTE, NC
Past
October 14, 2010 - July 17, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
CHARLOTTE, NC
Past
July 21, 2010 - October 5, 2010
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
CHARLOTTE, NC
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(3/15/2022)
RR
Arizona(6/26/2023)
RR
California(3/15/2022)
RR
Florida(3/15/2022)
RR
Georgia(3/15/2022)
RR
Indiana(3/15/2022)
RR
Michigan(8/5/2025)
RR
North Carolina(3/15/2022)
IAR
North Carolina(3/15/2022)
RR
Ohio(3/15/2022)
RR
Pennsylvania(3/15/2022)
RR
South Carolina(3/15/2022)
IAR
South Carolina(3/17/2022)
RR
Tennessee(3/15/2022)
RR
Texas(5/5/2023)
IAR
Texas(5/5/2023)
RR
Virginia(3/15/2022)
RR
Wisconsin(3/15/2022)
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
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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.
