SA
Shane C. Allen
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Taylor, TX
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CRD#: 6634023
SA
Professional summary
Shane Cartez Allen is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Taylor, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Cedar Park, Texas.
Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Shane has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 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) Austin Options Realty, 7800 SHOAL CREEK BLVD #100N AUSTIN TX, 3/1/13, REALTOR, 6 HR/MO, 6 HR/MO TRADING, NIR 2) CROSSROADS ASSEMBLY OF GOD, 500 CARLOS G PARKER BLVD NW TAYLOR TX, 04/2007, PASTOR, 25 HR/WK 8 HR/TRADING, NIR 3) SHANE ALLEN, 3001 GLACIER PASS LANE CEDAR PARK, TX, 06/2017, Independent Insurance Agent that sells and services fixed life, term, etc. 4 HR/MO 4 HR/MO TRADING, INV REL 4) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 07/2017, AS ADVISORY REP OF A RIA. INV REL, 1 HR/MO 1 HR/TRADING 5) BEST VALUE LAWN, 707 LIZZIE ST TAYLOR TX, LAWN CARE, OWNER, NIR, 3 HR/WK 3 HR/TRADING 6) TAYLOR AREA MINISTERIAL ALLIANCE, PO BOX 1363 TAYLOR TX, BOARD MEMBER OF A NON-PUBLIC ENTITY, SECRETARY, 03/2020, NIR, 20 HR/YR 0 HR/TRADING 7) AUSTIN OPTIONS REALTY, 6101 W COURTYARD BLDG 2 SUITE 100 AUSTIN TX, 03/2013, AGENT, REAL ESTATE, NIR, 6 HR/MO 6 HR/MO TRADING 8) CVR/CONTINENTAL OIL, 707 Lizzie St., Taylor TX 76574, United States, 09/2025, Owner, I inherited some mineral rights (Oil) which produces income., NIR, 1 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Shane Cartez Allen'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
July 17, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 3001 Glacier Pass Lane, Cedar Park, TX 78613RIA
CRD#: 134139
Taylor, TX
Current
July 17, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 3001 Glacier Pass Lane, Cedar Park, TX 78613BD
CRD#: 39543
Cedar Park, TX
Past
June 23, 2017 - July 28, 2017
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
Round Rock, TX
Past
June 21, 2017 - July 28, 2017
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
Round Rock, TX
Past
March 27, 2017 - June 23, 2017
CAPITAL CHOICE INVESTMENT ADVISERS, INC.
RIA
CRD#: 145932
Taylor, TX
Past
April 15, 2016 - June 21, 2017
CCF INVESTMENTS, INC.
BD
CRD#: 136571
Round Rock, TX
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
California(1/2/2024)
RR
Florida(8/30/2021)
RR
Idaho(1/2/2024)
RR
Texas(7/17/2017)
IAR
Texas(7/17/2017)
RR
Washington(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/28/2024
General Securities Representative ExaminationGeneral 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
