RH
Richard K. Hawes
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
NEW SMYRNA BEACH, FL
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CRD#: 1009950
RH
Professional summary
Richard Kendall Hawes, who also goes by Rick Hawes, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in New Smyrna Beach, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in New Smyrna Beach, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Hawes
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) TIME SHARE FOR RENT, 809 SILK OAK CT, NEW SMYRNA BEACH, FL, 2/2013, OWNER, REAL ESTATE, NIR, 5 HRS/YR - 0 HRS/YR TRADING. 2) INDEPENDENT INSURANCE AGENT, NEW SMYRNA BEACH, FL, 1/2018 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10 HRS/MO - 7 HRS/MO TRADING. 3) SOUTHEAST VOLUSIA LEAGUE FOR ECONOMIC ADVANCEMENT INC, 809 SILK OAK CT, NEW SMYRNA BEACH, FL, BOARD PRESIDENT, NIR, 12 HRS/MO - 8 HRS/MO TRADING. 4) UTILITIES COMMISSION OF NEW SMYRNA BEACH FL, 200 CANAL ST, NEW SMYRNA BEACH, FL, BOARD MEMBER, NON-PUBLIC ENTITY, 06/22/20, NIR, 6 HRS/MO - 1 HR/MO TRADING. 5) OCEANSIDE PRIVATE WEALTH MANAGEMENT, 809 SILK OAK CT, NEW SMYRNA BEACH, FL 32168, 05/2015, OWNER, DBA, INV REL, 10 HRS/MO - 2 HRS/MO TRADING. 6) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. 06/05/2015
CRS (Client Relationship Summary) - RIA
Click below to view Richard Kendall Hawes's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 4, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
NEW SMYRNA BEACH, FL
Current
June 1, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
NEW SMYRNA BEACH, FL
Past
January 31, 2014 - June 2, 2015
SPC
RIA
CRD#: 110692
MILFORD, MI
Past
January 27, 2014 - June 2, 2015
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
New Smyrna Beach, FL
Past
May 8, 2013 - March 26, 2014
GREYSTONE FINANCIAL GROUP, INC.
RIA
CRD#: 112683
TROY, MI
Past
February 8, 2013 - March 11, 2013
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
MILFORD, MI
Past
July 22, 2008 - July 19, 2012
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
SOUTHFIELD, MI
Past
December 9, 2005 - June 20, 2008
COMERICA SECURITIES
BD
CRD#: 17079
ANN ARBOR, MI
Past
December 3, 1999 - January 6, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SYRACUSE, NY
Past
February 1, 1999 - July 29, 1999
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
November 9, 1998 - April 23, 1999
RONEY & CO.
BD
CRD#: 45091
DETROIT, MI
Past
January 1, 1996 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
BD
CRD#: 17516
CHICAGO, IL
Past
February 7, 1994 - May 31, 1995
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
April 2, 1993 - January 25, 1994
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
BD
CRD#: 17529
FARMINGTON HILLS, MI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(6/1/2015)
IAR
Florida(6/4/2015)
RR
Michigan(6/1/2015)
RR
North Carolina(9/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139New Smyrna Beach, FLTRUST BUT VERIFY
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Contact information
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