Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Traganza is a financial advisor with over 29 years of experience in the industry. Adam currently works with Cambridge Investment Research Advisors, Inc. and has also worked with other firms including Woodbury Financial Services, Inc., SagePoint Financial, Inc., FSC Securities Corporation, Royal Alliance Associates, Inc. and Charles Schwab & Co., Inc. Adam is registered to offer investment advice in Arizona, California, and Idaho. Adam holds several industry licenses and has passed the Series 66, Series 63, Series 10, Series 9, Series 24, Series 23, Series 8, SIE, Series 55, and Series 7 exams. Adam is also a Registered Representative.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
CA
01/09/2017 - Present
Cambridge Investment Research Advisors, Inc. (Santa Rosa CA)
MN
04/03/2013 - 01/12/2015
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
AZ
10/31/2005 - 01/12/2015
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
GA
02/01/2005 - 01/12/2015
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
02/01/2005 - 01/12/2015
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
GA
02/01/2005 - 03/03/2009
ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)
AZ
07/06/2006 - 10/29/2008
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
AZ
02/01/2005 - 10/31/2005
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
AZ
02/01/2005 - 10/31/2005
SPELMAN & CO., INC. (PHOENIX AZ)
AZ
02/01/2005 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
TX
03/19/1997 - 01/06/2005
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CA
01/11/1995 - 02/25/1997
WFP SECURITIES (SAN DIEGO CA)
CA
05/27/1993 - 02/07/1995
MONTANO SECURITIES CORPORATION (ORANGE CA)
IA
01/04/1995 - 01/10/1995
DICKINSON & CO. (DES MOINES IA)
CA
03/04/1993 - 03/10/1993
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
CA
03/18/1992 - 12/15/1992
BARABAN SECURITIES, INC. (LOS ANGELES CA)
NA
05/25/1988 - 12/20/1988
PRINTON, KANE GOVERNMENT SECURITIES, INC.
BOTH
Issued 08/08/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/03/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 04/18/2005
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 03/15/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/16/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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