KS
Katherine Sussman
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Marietta, GA 30060
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CRD#: 7270699
KS
Professional summary
Katherine Sussman, who also goes by Kate Sussman, Katherine Glenfield Sussman, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Marietta, Georgia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Marietta, Georgia.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Katherine has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kate Sussman | Katherine Glenfield Sussman
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) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 09/2024, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 2) VITA FINANCIAL, 320 CHEROKEE ST NE SUITE D MARIETTA GA, 09/2024, IAR, DBA, INV REL, 160 HR/MO 130 HR/MO TRADING 3) KATHERINE G SUSSMAN, 320 CHEROKEE ST NE SUITE D MARIETTA GA, 09/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 160 HR/MO 80 HR/MO TRADING 4) VERANOVIA, 320 Cherokee St NE, Suite D, Marietta GA 30060, United States, 06/16/2025, Marketing, NIR, 160 HR/MO 140 HR/MO TRADING 5) THE WARM THEORY, LLC, 94 Norway Hill Rd, Hancock NH 03449, United States, 07/01/2025, Coach, Consulting/Coaching, NIR, 10 HR/MO 0 HR/MO TRADING 6) EQUISTELLA GROUP, LLC, 105 MacIntosh Lane, Centerville GA 31028, United State, 07/01/2025, Project Coordinator, Administrative, NIR, 30 HR/MO 0 HR/MO TRADING 7) VITA FINANCIAL, 320 Cherokee St NE, Suite D, Marietta GA 30060, United States, 10/04/2024, Financial Advisor, Salary, Lead Advisor, INV REL, 160 HR/MO - 130 HR/MO TRADING 8) VERA PLANNING, 320 Cherokee St NE, Suite D, Marietta GA 30060, United States, 09/01/2025, Financial Advisor, Salary, Lead Advisor, INV REL, 160 HR/MO - 140 HR/MO TRADING 9) VERANOVIA OSJ SERVICES DBA VERANOVIA OSJ, 320 Cherokee St NE, Suite D, Marietta GA 30060, United States, 09/02/2025, OSJ Supervisor, DBA Name, INV REL, 160 HR/MO - 140 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Sussman'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
September 16, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 320 Cherokee Street Ne, Suite D, Marietta, GA 30060RIA
CRD#: 134139
Marietta, GA
Current
September 12, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 320 Cherokee Street Ne, Suite D, Marietta, GA 30060BD
CRD#: 39543
Marietta, GA
Past
April 9, 2021 - March 15, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
MERRIMACK, NH
Past
December 11, 2020 - March 15, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MERRIMACK, NH
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
Georgia(9/16/2024)
IAR
Georgia(9/16/2024)
RR
New Hampshire(9/19/2024)
IAR
New Hampshire(9/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/10/2020
General Securities Representative ExaminationGeneral 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.
