These Items are Available Through the Financial Industry Regulatory Authority 

Visit the FINRA Website

  • Smart Investing Courses

    Use                Smart Investing Courses to build essential investment knowledge and skills.

  • Personal Finance

    Use                guide to Personal Finance to help you understand what you want to accomplish financially, before investing.

  • Choosing an Investment Professional

    Use                guide to Choosing an Investment Professional to find the right professional for the help you seek.

  • Types of Investments

    Use                guide to Types of Investments to help you understand the features, risk factors and how different investments can help.

  • Key Investing Concepts

    Use                guide to Key Investing Concepts to help you understand a few essential investments concepts.

  • Brokerage Accounts

    Use                guide to Brokerage Accounts to help you understand how brokerage accounts can help you meet your investment goals.

  • Advanced Investing

    Use                guide to Advanced Investing to help you understand advanced investing topics.

  • Young Adults and Investing

    Use                guide to Young Adults and Investing to help achieve your financial goals as a Young Investor.

  • Investor Tools

    Use                Tools to help you understand your financial decisions.

  • Calculators

    Use                Calculators to help you make informed decisions based on your personal financial circumstances and needs.

  • Quizzes, Games & Educational Tools

    Use                Quizzes, Games & Educational Tools to help you learn more about investments, while having some fun!

Connecting You to Your Investments:

Investing Client

Invest with confidence, knowing that multiple entities are working toward protecting your financial assets. 

You have the freedom to choose to interact with your financial professional through a fee based or commission relationship, or both, based on your financial needs.

Financial Professional

A registered representative is licensed to sell securities, provides financial guidance to their clients and is typically paid a commission when you purchase a financial product.

 

An Investment Advisor Representative (IAR) provides financial guidance to their clients and is generally paid a fee for either managing assets, giving advice, or both. 

Investment Firm

A broker-dealer facilitates the buying and selling of securities on behalf of the registered representative licensed with the firm and holds responsibility for regulatory compliance and adherence to securities laws.

 

A Registered Investment Adviser (RIA) processes the fee-based business of IARs licensed with the firm and holds responsibility for regulatory compliance and adherence to securities laws.

Custodian and Clearing Firms

Custodian and Clearing Firms provide the trade execution, clearing, custody and other services for securities and related transactions.

An independent broker-dealer can choose a non-affiliated clearing firm to provide the trade execution, clearing, custody and other related services for clients of their financial professionals. A clearing firm may also be a registered broker-dealer. Clearing relationships are typical throughout the industry and allow your financial professional to focus on helping you achieve your investment goals while taking advantage of the clearing firm's safeguards for the physical protection of your assets.

Regulators

 

The Securities Exchange Commission (SEC) is an agency of the U.S. government that oversees the Financial Industry Regulatory Authority (FINRA), which in turn oversees broker-dealers, clearing firms, and your financial professional. Both the SEC and FINRA require members to comply with various rules intended to regulate and oversee the operation of financial markets and the sales practices of financial professionals. Regulators aren't associated with, and do not endorse Cambridge. You can review the regulatory standing of Cambridge and each associated financial professional by visiting FINRA's BrokerCheck.

About Christian Stearns:

Certified Financial Planner ™️,

Sustainable Investment Advocate & Author

Christian is committed to helping his clients pursue their financial goals and lifetime dreams by bringing sound financial knowledge and trustworthy advice to a lasting relationship with each individual, family and business he serves.

Service Areas

Florida

My eBook

 

Click the cover below to receive a free copy of The 3 Types of Sustainable Investing

eBook Cover.jpg

Recent Blog Posts:

Christian Stearns is a member of Conte Wealth Advisors Privacy Statement

This communication is strictly intended for individuals residing in the states of California, ColoradoFlorida, Georgia, MarylandMichiganNevada, New York, North Carolina, OhioSouth Carolina, Texas, and Virginia. No offers may be made or accepted from any resident outside the specific states referenced. 

Registered Representative Securities offered through Cambridge Investment Research, Inc., a Broker/Dealer, Member FINRA/SIPC. Investment Advisor Representative Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor. Cambridge and Conte Wealth Advisors are not affiliated.

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Conte Wealth Advisors | Fort Myers Office