KR
Karin M. Rettger
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Glen Ellyn, IL 60137
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CRD#: 1081235
KR
Professional summary
Karin Marrs Rettger, AIF®, who also goes by Karin Louise Marrs, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Glen Ellyn, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Glen Ellyn, Illinois.
Karin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Karin has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karin Louise Marrs
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) PRINICPAL RESOURCE GROUP, 21W766 CLIFFORD GLEN ELLYN IL, 08/1996, PRESIDENT, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 80 HR/MO 80 HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, AS ADVISORY REP OF A RIA. INV REL, 120 HR/MO 80 HR/MO TRADING, 10/2014 3) PRINCIPAL RESOURCE GROUP, 800 ROOSEVELT RD STE B413 GLEN ELLYN IL, PRESIDENT, CO-AUTHOR: DOING MORE WITH LESS: 21ST CENTURY BENEFIT STRATEGIES TO REDUCE COSTS, MAXIMIZE HUMAN CAPITAL, AND DRIVE MORE DOLLARS TO THE BOTTOM LINE, 07/2015. NIR, 24 HR/YR 0/TRADING 4) PRINCIPAL RESOURCE GROUP, 21 W766 CLIFFORD RD GLEN ELLYN IL, PRESIDENT, CO-AUTHOR: BREAKING THROUGH THE STATUS QUO- HOW INNOVATIVE COMPANIES ARE CHANGING THE BENEFITS GAME TO HELP THEIR EMPLOYEES AND BOOST THEIR BOTTOM LINE, 11/2017. NIR, 40/YR 0/TRADING 5) PRINCIPAL RESOURCE GROUP, 800 ROOSEVELT ROAD BUILDING B STE 413 GLEN ELLYN IL, DIVORCE AND RETIREMENT INCOME PLANNING, PRESIDENT, 12/2020, INV REL, 16 HR/YR 16/TRADING HR
CRS (Client Relationship Summary) - RIA
Click below to view Karin Marrs Rettger'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®
Experience
Current
October 30, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 800 Roosevelt Road, Bldg. B, Suite 413, Glen Ellyn, IL 60137RIA
CRD#: 134139
Glen Ellyn, IL
Current
October 30, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 800 Roosevelt Road Suite B 413, Glen Ellyn, IL 60137BD
CRD#: 39543
GLEN ELLYN, IL
Past
November 22, 1999 - October 30, 2014
SUNSET FINANCIAL SERVICES, INC.
RIA
CRD#: 3538
GLEN ELLYN, IL
Past
May 13, 1998 - October 30, 2014
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
GLEN ELLYN, IL
Past
August 15, 1996 - May 13, 1998
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
June 1, 1994 - August 16, 1996
G & W EQUITY SALES, INC.
BD
CRD#: 35356
INDIANAPOLIS, IN
Past
October 14, 1989 - June 10, 1994
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
Past
June 14, 1983 - June 6, 1994
AMERICAN UNITED LIFE INSURANCE COMPANY
BD
CRD#: 1075
INDIANAPOLIS, IN
Past
March 9, 1983 - June 10, 1994
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
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
Colorado(11/30/2022)
RR
Florida(11/3/2014)
IAR
Florida(12/2/2021)
RR
Illinois(10/30/2014)
IAR
Illinois(10/30/2014)
RR
New York(1/2/2025)
RR
South Carolina(3/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/30/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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
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.
