Shad Roundy, financial advisor Logan UT
77 score

Shad Roundy

CRD Number: 6180525
Current Firm: Cambridge Investment Research Advisors, Inc.

Shad Roundy (CRD# 6180525) is an Investment Advisor Representative working at Cambridge Investment Research Advisors, Inc. in Logan, UT and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Cambridge Investment Research Advisors, Inc. Fairfield, IA Oct 2015 - Current 1
Cambridge Investment Research, Inc. Fairfield, IA Oct 2015 - Current 1
Alivint Financial & Insurance Logan, UT Jul 2015 - Current 1
Allegis Investment Advisors Logan, UT Jul 2015 - Sep 2015 < 1
Allegis Investment Services Logan, UT Jul 2015 - Sep 2015 < 1
Edward Jones St Louis, MO Apr 2013 - Jul 2015 2
The Berry Company Honolulu, HI May 2008 - Mar 2013 4
Roundy Apparel West Jordan, UT Aug 2001 - May 2008 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jun 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Shad Roundy
Phone Number: 641-472-5100
Firm Website: http://www.cir2.com
Registered State(s):
  • UT
By the Numbers
  • Total Assets Under Management
    25,187
    MILLIONS
  • Total Number of Accounts
    152,412
    ACCOUNTS
  • Average Account Value
    $165,257
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Market timing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
77

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