Tom Arno Stapel

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Market timing

From the firm’s Form ADV. Read the guides:

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2023-04-06

OH RA
APPROVED

Since 2023-04-06

Branch Locations

Sheffield Village, OH • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Cetera Advisor Networks Llc	El Segundo	CA	09/2013	12/2022
Cambridge Investment Research, Inc.	Fairfield	IA	03/2023	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	03/2023	Present

09/2013 → 12/2022

Cetera Advisor Networks Llc

El Segundo, CA
03/2023 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
03/2023 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2011-01-20 → 2023-01-04

Financial Management Strategies, Inc.

Broadview Hts., OH
2013-09-03 → 2022-12-31

Cetera Wealth Services, Llc

Mentor, OH
2011-01-14 → 2013-09-03

Walnut Street Securities, Inc.

Valley View, OH

Mentor, OH

Other Businesses

1. CIRA, Fairfield IA 52556, 04/07/2023, Investment Advisor Representative, CIRA Affiliation, INV REL, 160 HR/MO - 120 HR/MO TRADING