SA
Stephanie D. Abee
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Raleigh, NC 27607
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CRD#: 5888654
SA
Professional summary
Stephanie Devan Abee is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Raleigh, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Raleigh, North Carolina.
Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Stephanie has worked at 4 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)DEVAN LLC, 1306 BANBURY ROAD RALEIGH, NC, 10/2007 AS MANAGING MEMBER OF DESIGN CONSULTATION FIRM. NIR - 0HRS
2)PLUMTREE LLC, 3108 ETON RD RALEIGH NC, 8/1997 AS OWNING PARTNER. LLC THAT OWNS FOUR RENTAL PROPERTIES IN NC. NIR - 5 HRS/MO, 0 HRS.
3)INDEPENDENT INSURANCE AGENT, 2304 WESVILL CT STE 380, RALEIGH, NC, 10/2011 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 30/YR - 2/TRADING.
4)SOCIAL SECURITY ASSOCIATES, 2339 GOLD MEADOW WAY STE 200, GOLD RIVER, CA, 1/2014 PROVIDING EDUCATIONAL SS WORKSHOPS. NIR - 30 HR/YR - 0/TRADING.
5.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE.
CRS (Client Relationship Summary) - RIA
Click below to view Stephanie Devan Abee'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
April 15, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2304 Wesvill Ct. Ste 380, Raleigh, NC 27607RIA
CRD#: 134139
Raleigh, NC
Current
April 15, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 3334 Hillsborough St, Raleigh, NC 27607BD
CRD#: 39543
Raleigh, NC
Past
April 29, 2013 - April 22, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
RALEIGH, NC
Past
April 29, 2013 - April 22, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
RALEIGH, NC
Past
July 24, 2012 - May 3, 2013
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
RALEIGH, NC
Past
July 24, 2012 - May 3, 2013
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
RALEIGH, NC
Past
October 10, 2011 - July 26, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
RALEIGH, NC
Past
April 21, 2011 - July 26, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
RALEIGH, 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
Arizona(10/26/2021)
RR
Colorado(4/28/2025)
RR
Florida(7/10/2020)
RR
Georgia(10/14/2021)
RR
Indiana(8/16/2021)
RR
Maryland(8/3/2016)
RR
Minnesota(4/15/2016)
RR
New York(1/21/2021)
RR
North Carolina(4/15/2016)
IAR
North Carolina(4/15/2016)
RR
Ohio(5/25/2016)
RR
Oregon(8/3/2016)
RR
South Carolina(12/2/2020)
RR
Tennessee(1/11/2022)
RR
Utah(4/2/2024)
RR
Virginia(4/15/2016)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Raleigh, NC 27607TRUST BUT VERIFY
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