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Elaine Roecklein

Cambridge Investment Research Advisors, INC.
21 Years of Experience
Manassas, VA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Elaine Roecklein is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in Manassas, VA, with 21 years of industry experience. Elaine 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
—
View Full SEC Brochure

Location

9219 Center St., Manassas, VA, 20110

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History

Regulatory History (1)
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
September 2015
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Elaine works as a fitness instructor, is involved with the United Nation International Pageant, and is an advisory representative of a registered investment advisor. She also works as an independent insurance agent for various companies, dedicating minimal time to this, and uses a trade name/DBA.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
January 2022 - Present · 4 yrs 9 mos
Cambridge Investment Research, INC.
October 2019 - Present · 7 yrs
Cambridge Investment Research, INC.Broker
October 2019 - Present · 7 yrs
Previous Registrations
Cambridge Investment Research Advisors, INC.
October 2019 - January 2022 · 2 yrs 3 mos
Fsc Securities CorporationBroker
June 2018 - October 2019 · 1 yr 4 mos
Fsc Securities Corporation
June 2018 - October 2019 · 1 yr 4 mos
Fsc Securities Corporation
June 2018 - June 2018 · 0 mos
Fsc Securities CorporationBroker
June 2018 - June 2018 · 0 mos
Cambridge Investment Research, INC.Broker
May 2016 - June 2018 · 2 yrs 1 mo
Cambridge Investment Research Advisors, INC.
May 2016 - June 2018 · 2 yrs 1 mo
Purshe Kaplan Sterling InvestmentsBroker
August 2012 - May 2016 · 3 yrs 9 mos
Research Financial Strategies
October 2010 - May 2016 · 5 yrs 7 mos
LPL Financial LLCBroker
September 2010 - August 2012 · 1 yr 11 mos
LPL Financial Corporation
September 2010 - September 2010 · 0 mos
Qa3 Financial LLC
April 2010 - September 2010 · 5 mos
Qa3 Financial CORP.Broker
April 2010 - September 2010 · 5 mos
Securities America Advisors, INC.
October 2007 - April 2010 · 2 yrs 6 mos
Securities America, INC.Broker
February 2007 - April 2010 · 3 yrs 2 mos
Royal Alliance Associates, INC.Broker
May 2005 - January 2007 · 1 yr 8 mos
State Registrations9 states
ALDCFLGAMDMOPATXVA
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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