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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

TOM ARNO STAPEL

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Sheffield Village, OH

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Search this name across graphsid dfx:ria:8bedd930-4077-5fd5-0a3b-4de00ab23737

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jan 14, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 14, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
First registration: Jan 14, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 1054908

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Apr 6, 2023	n/a	yes	Sheffield Village, OH	Current employment
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Sep 3, 2013	Dec 31, 2022	no	MENTOR, OH	Previous registration
FINANCIAL MANAGEMENT STRATEGIES, INC.	Independent wealth	Jan 20, 2011	Jan 4, 2023	no	BROADVIEW HTS., OH	Previous registration
WALNUT STREET SECURITIES, INC.	Former SEC adviser	Jan 14, 2011	Sep 3, 2013	no	VALLEY VIEW, OH\|MENTOR, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FINANCIAL MANAGEMENT STRATEGIES, INC.	CETERA ADVISOR NETWORKS LLC	Jan 4, 2023	Sep 3, 2013	-3,410	Firm change after gap	Other
CETERA ADVISOR NETWORKS LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Dec 31, 2022	Apr 6, 2023	96	Firm change	Ibd to ibd
WALNUT STREET SECURITIES, INC.	FINANCIAL MANAGEMENT STRATEGIES, INC.	Sep 3, 2013	Jan 20, 2011	-957	Firm change after gap	Other

Relationships

Registered with (4)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Apr 6, 2023 to presentfactForm ADV
→ FINANCIAL MANAGEMENT STRATEGIES, INC.Registered adviserregistration: previous registration
Jan 20, 2011 to Jan 4, 2023factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Sep 3, 2013 to Dec 31, 2022factForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviserregistration: previous registration
Jan 14, 2011 to Sep 3, 2013factForm ADV

Dated events

Occurred
Jan 4, 2023
Advisor changed firm
Tom Arno Stapel left Financial Management Strategies, Inc. for Cetera Advisor Networks Llc (registered 2013-09-03)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Tom Arno Stapel left Cetera Advisor Networks Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-04-06)
Form ADVobserved 5 days ago