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Tom Stapel

Cambridge Investment Research Advisors, INC.
41 Years of Experience
Sheffield Village, OH
4 DisclosuresBroker
View SEC Summary
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Tom Stapel is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in Sheffield Village, OH, with 41 years of industry experience. Tom is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3940 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Sheffield Village, OH

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2003
Settled
Customer Dispute
September 2002
Settled
Customer Dispute
November 2001
Settled
Customer Dispute
June 2001
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Tom is an Investment Advisor Representative with CIRA since April 2023. He spends nearly full-time on CIRA affiliation and trading activities.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
April 2023 - Present · 3 yrs 6 mos
Cambridge Investment Research, INC.Broker
April 2023 - Present · 3 yrs 6 mos
Previous Registrations
Cetera Advisor Networks LLCBroker
September 2013 - December 2022 · 9 yrs 3 mos
Cetera Advisor Networks LLC
September 2013 - December 2022 · 9 yrs 3 mos
Financial Management Strategies, INC.
January 2011 - January 2023 · 12 yrs
Walnut Street Securities, INC.
January 2011 - September 2013 · 2 yrs 8 mos
Walnut Street Securities, INC.Broker
October 2010 - September 2013 · 2 yrs 11 mos
AXA Advisors, LLCBroker
September 2008 - October 2010 · 2 yrs 1 mo
Fifth Third Securities, INC.Broker
March 2005 - April 2008 · 3 yrs 1 mo
The Huntington Investment CompanyBroker
January 2003 - July 2004 · 1 yr 6 mos
Mcdonald Investments INC.Broker
December 1999 - December 2001 · 2 yrs
Key Clearing CORP.Broker
May 1999 - December 1999 · 7 mos
Key Investments INC.Broker
June 1997 - May 1999 · 1 yr 11 mos
Pruco Securities CorporationBroker
July 1982 - May 1997 · 14 yrs 10 mos
State Registrations1 state
OH
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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