JH
Jeffrey M. Hochwalt
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Kettering, OH
Some features on this profile are disabled
CRD#: 1020167
JH
Professional summary
Jeffrey Mark Hochwalt, who also goes by Jeff Hochwalt, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Kettering, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Kettering, Ohio.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Jeffrey has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Hochwalt
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) FINANCIAL RESOURCE PARTNERS LLC, 325 TAMARAC TRAIL, KETTERING, OH, 6/2022, OWNER/DBA, INV REL, 40 HR/MO, 40 HR/MO TRADING. 2) FINANCIAL RESOURCE PARTNERS LLC, 325 TAMARAC TRAIL, KETTERING, OH, 08/2011, ADVISOR/RECRUITER/TRAINER/MENTOR, NATIONAL MARKETING AND LEAD GENERATION, INV REL, 160 HR/MO, 130 HR/MO TRADING. 3) JEFF HOCHWALT PHOTOGRAPHY, 325 TAMARAC TRAIL, KETTERING, OH, 07/2012, OWNER, PHOTOGRAPHY, NIR, 5 HR/MO, 0 HR/MO TRADING. 4) FINANCIAL RESOURCE PARTNERS LLC, 325 TAMARAC TRAIL, KETTERING, OH, 02/2014, OWNER, COLLEGE PLANNING, NIR, 1 HR/MO, 0 HR/MO TRADING. 5) FINANCIAL RESOURCE PARTNERS LLS, 325 TAMARAC TRAIL, KETTERING, OH, 06/1981, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 160 HR/MO, 32 HR/MO TRADING. 6) ELITE RESOURCE TEAM, 501 W BROADWAY STE 1360, SAN DIEGO, CA, 10/2018, CONSULTANT PROVIDING REFERRALS, NIR, 1 HR/MO, 0 HR/MO TRADING. 7) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 08/2008, ADVISORY REP OF A RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 8) HOCHWALT FINANCIAL PARTNERS, LLC, 325 Tamarac Trail, Kettering OH, 07/2023, OWNER OF DBA, INV REL, 40 HR/MO - 20 HR TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Mark Hochwalt'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
August 12, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 6992 S Knolls Way, Centennial, CO 80122RIA
CRD#: 134139
Kettering, OH
Current
August 12, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Kettering, OH
Past
August 22, 2006 - September 1, 2006
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
August 22, 2006 - September 1, 2006
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
May 22, 2003 - August 13, 2008
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
GREENWOOD VILLA, CO
Past
July 18, 2002 - August 13, 2008
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
GREENWOOD VILLA, CO
Past
January 4, 2002 - July 19, 2002
CETERA ADVISORS LLC
RIA
CRD#: 10299
DENVER, CO
Past
December 13, 2001 - July 19, 2002
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
March 1, 1996 - December 7, 2001
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
January 26, 1994 - December 31, 1994
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
August 19, 1992 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
July 21, 1986 - July 20, 1992
THE GREAT-WEST LIFE ASSURANCE COMPANY
BD
CRD#: 5927
ENGLEWOOD, CO
Past
December 22, 1981 - June 17, 1986
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
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
Alabama(4/19/2024)
RR
Arizona(6/23/2015)
RR
California(8/12/2008)
RR
Colorado(8/12/2008)
IAR
Colorado(8/12/2008)
RR
Florida(3/14/2018)
RR
Kansas(8/13/2021)
RR
Minnesota(9/28/2009)
RR
Missouri(12/21/2023)
RR
New Mexico(12/13/2010)
RR
New York(2/6/2023)
RR
Ohio(8/23/2021)
IAR
Ohio(6/3/2022)
RR
Oregon(8/3/2023)
RR
Texas(7/29/2021)
IAR
Texas(7/29/2021)
RR
Washington(7/24/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
