DG
Denice F. Gustin-piazza
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Deerfield Beach, FL 33441
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CRD#: 714902
DG
Professional summary
Denice F Gustin-piazza, CFP®, who also goes by Denice Fern Gustin, Denny Gustin-piazza, Denice F Gustinpiazza, Denise Fern Gustin Paizza, Denice Fern Gustin Piazza, Denice Gustin Piazza, Denise Fern Gustin Piazza, Gustin Denice Fern Piazza, Denice Fern Piazzagustin, Denice Ferntgustin Plazza, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Deerfield Beach, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Deerfield Beach, Florida.
Denice is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Denice has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 1, Series 51 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Estate Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Investment Planning
Insurance Planning
Are you a "fiduciary"?
Yes
Aliases
Denice Fern Gustin | Denny Gustin-Piazza | Denice F Gustinpiazza | Denise Fern Gustin Paizza | Denice Fern Gustin Piazza | Denice Gustin Piazza | Denise Fern Gustin Piazza | Gustin Denice Fern Piazza | Denice Fern Piazzagustin | Denice Ferntgustin Plazza
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) GUSTIN CONSULTING GROUP INC, 2800 S RIVER RD, DES PLAINES, IL 1/1990 AS OWNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 20 HR/WK - 20/TRADING. 2) WEALTHPLANNERS LLC, 2800 S RIVER RD, DES PLAINES, IL 1/2001 AS CO-AUTHOR OF "WINNING FINANCIAL STRATEGIES FOR WOMEN". INV REL - 5 HR/WK - 0/TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 15 HR/WK - 10/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4) KOLBE (NON-INVESTMENT RELATED), 3421 N 44TH STREET, PHOENIX, AZ 85018; START DATE: 6/1/07; 3 HR/MO, 0 HR DURING SECURITIES TRADING HRS; KOLBE INDEX IS A TOOL TO ASSESS AN INDIVIDUAL'S INNATE PROBLEM SOLVING SKILLS. 5) RENTAL PROPERTY OWNER, CHICAGO, IL, 10/2018. NIR-10/YR-0/TRADING. 6) BLACK GALLEON HORSE RACING LLC, 1190 Smoketree Ave, Brighton IA 52540, 07/2023, HORSE RACING, OWNER, NIR, 10 HR/MO - 1 HR TRADING 7) RACING CATS, LLC, 2800 S RIVER RD STE 390, DES PLAINES IL 60018-6004,11/2024, OWNER, ADMIN, NIR, 5 HR/MO, 0 HR/MO TRADING 8) WEALTHPLANNERS, LLC-OWNER, 2800 S RIVER RD STE 390, DES PLAINES IL 60018-6004, 12/2024, OWNER, PARTNER, NIR, 240 HR/MO, 160 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Denice F Gustin-piazza'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®
CFP®
Start date: 1987
Experience
Current
January 4, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1261 Se 3rd Court, Deerfield Beach, FL 33441Office #2: 2800 S River Rd Ste 390, Des Plaines, IL 60018-6004RIA
CRD#: 134139
Deerfield Beach, FL
Current
January 4, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #2: 2800 S River Rd Ste 390, Des Plaines, IL 60018-6004BD
CRD#: 39543
Deerfield Beach, FL
Past
February 1, 1998 - December 31, 2009
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
DES PLAINES, IL
Past
June 25, 1992 - December 31, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
DES PLAINES, IL
Past
April 8, 1988 - July 10, 1992
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
January 2, 1987 - April 14, 1988
KORN, WOMACK, STERN AND ASSOCIATES, INC.
BD
CRD#: 16933
Past
October 21, 1986 - January 28, 1987
SUSSEX FINANCIAL GROUP, INC.
BD
CRD#: 18313
Past
March 10, 1986 - November 24, 1986
PROFESSIONAL REAL ESTATE SECURITIES COMPANY, INC.
BD
CRD#: 13159
Past
March 6, 1986 - January 9, 1987
KINGSBURY CAPITAL, INC.
BD
CRD#: 7638
Past
June 21, 1985 - March 6, 1986
VALUE EQUITIES CORPORATION
BD
CRD#: 13316
Past
August 7, 1984 - May 13, 1986
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Past
February 8, 1983 - June 29, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
September 16, 1980 - December 29, 1982
PW SECURITIES, INC.
BD
CRD#: 6775
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(5/5/2014)
RR
Alaska(3/7/2019)
RR
Arizona(10/3/2012)
RR
Arkansas(2/6/2013)
RR
California(1/4/2010)
RR
Colorado(3/22/2021)
RR
Connecticut(1/4/2010)
RR
Florida(1/4/2010)
IAR
Florida(11/20/2020)
RR
Georgia(1/4/2010)
RR
Idaho(5/11/2021)
RR
Illinois(1/4/2010)
IAR
Illinois(1/4/2010)
RR
Indiana(1/4/2010)
RR
Kentucky(4/4/2013)
RR
Massachusetts(1/4/2010)
RR
Michigan(1/4/2010)
RR
Minnesota(1/4/2010)
RR
Missouri(1/4/2010)
RR
Montana(8/11/2020)
RR
Nebraska(10/27/2020)
RR
New Hampshire(8/28/2012)
RR
New Jersey(1/4/2010)
RR
New Mexico(1/2/2013)
RR
New York(1/4/2010)
RR
North Carolina(1/4/2010)
RR
Ohio(1/4/2010)
RR
Pennsylvania(1/4/2010)
RR
South Carolina(1/4/2010)
RR
Tennessee(6/4/2013)
RR
Texas(8/20/2012)
IAR
Texas(10/11/2013)
RR
Virginia(3/16/2022)
RR
Washington(1/2/2013)
RR
Wisconsin(1/4/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/8/1980
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory 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#: 134139Deerfield Beach, FL 33441TRUST BUT VERIFY
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Contact information
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