KR
Katie W. Riegel
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Mauldin, SC 29662
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CRD#: 6861968
KR
Professional summary
Katie Wineski Riegel, who also goes by Katie Riegel, Katie Ann Wineski, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Mauldin, South Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Ft Mill, South Carolina.
Katie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Katie has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katie Riegel | Katie Ann Wineski
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) SMART PRO, 113 TULIP DRIVE NC, 08/2017, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 5 HR/WK0 HR/WK TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 03/2018, AS ADVISORY REP OF RIA, INVREL, 40HR/WK 30HR/TRADING 3) SMARTPRO FINANCIAL, University Park FL 34201, 07/01/2022, Investment Advisor Representative, Using a Trade Name/dba, INV REL, 1 HR/MO, 1 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Katie Wineski Riegel'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 14, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 104 Renaissance Cir., Mauldin, SC 29662Office #2: 331 Alcove Rd. Ste. 200, Mooresville, NC 28117Office #4: 2752 Pleasant Rd. Ste. 108, Ft Mill, SC 29708RIA
CRD#: 134139
Mauldin, SC
Current
January 9, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2752 Pleasant Rd. Ste. 108, Ft Mill, SC 29708BD
CRD#: 39543
Ft Mill, SC
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(1/8/2019)
RR
Alaska(3/9/2022)
RR
Arizona(10/21/2021)
RR
Arkansas(4/1/2019)
RR
California(5/16/2019)
RR
Colorado(8/14/2019)
RR
Connecticut(10/25/2019)
RR
Florida(1/31/2019)
RR
Georgia(10/1/2018)
RR
Idaho(1/20/2023)
RR
Illinois(3/20/2019)
RR
Indiana(4/24/2020)
RR
Kansas(10/3/2024)
RR
Kentucky(5/2/2019)
RR
Louisiana(1/21/2019)
RR
Maine(11/26/2018)
RR
Missouri(1/20/2023)
RR
New Hampshire(4/22/2025)
RR
New Jersey(7/5/2023)
RR
New Mexico(10/3/2018)
RR
New York(3/7/2019)
IAR
North Carolina(3/14/2018)
RR
North Carolina(1/11/2023)
RR
Oklahoma(12/2/2022)
RR
Oregon(4/3/2019)
RR
South Carolina(4/27/2018)
IAR
South Carolina(6/14/2022)
RR
Tennessee(12/2/2022)
RR
Texas(5/13/2019)
IAR
Texas(5/13/2019)
RR
Virginia(3/12/2018)
RR
Washington(7/30/2019)
RR
Wisconsin(1/15/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/21/2021
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
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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#: 134139Mauldin, SC 29662TRUST BUT VERIFY
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