Douglas Kent Zima | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Douglas Kent Zima was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1983. Douglas had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

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) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 01/2019, AS ADVISORY REP OF A RIA. INV REL, 15 HR/WK 4 HR/TRADING 2) ZIMA INVESTMENTS, 910 IOWA AVE ONAWA IA, 07/2000, OWNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 2 HR/WK 2 HR/TRADING 3) TRIPLE Z FARM PARTNERSHIP, 910 IOWA AVE ONAWA IA, 01/2004, MANAGER, GRAIN FARMING/LANDLORD, NIR, 2 HR/WK 0 HR/TRADING 4) NOTARY PUBLIC, 910 IOWA AVE ONAWA IA, 02/2007, NOTARY PUBLIC. NIR,1 HR/YR 1 HR/TRADING

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 2, 2019 - November 11, 2025

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Onawa, IA

Past

January 2, 2019 - November 11, 2025

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

Onawa, IA

Past

July 16, 2013 - January 2, 2019

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

ONAWA, IA

Past

July 16, 2013 - January 2, 2019

SECURITIES AMERICA, INC.

BD

CRD#: 10205

ONAWA, IA

Past

February 7, 2003 - July 16, 2013

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

BLENCOE, IA

Past

November 20, 2001 - February 7, 2003

THE MASTERS, INC.

RIA

CRD#: 108432

ONAWA, IA

Past

October 26, 2001 - July 16, 2013

VSR FINANCIAL SERVICES, INC.

BD

CRD#: 14503

BLENCOE, IA

Past

February 18, 1993 - November 1, 2001

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD

CRD#: 13609

CEDAR RAPIDS, IA

Past

January 8, 1992 - March 2, 1993

F.J. GARBER & CO.

BD

CRD#: 17989

Past

January 11, 1988 - January 27, 1992

LOCUST STREET SECURITIES, INC.

BD

CRD#: 1703

Past

January 28, 1983 - January 27, 1992

LOCUST STREET SECURITIES, INC.

BD

CRD#: 1703

DES MOINES, IA

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.

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 3/22/2000

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 2/21/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 5/9/1991

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 1/27/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

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	Cover Page	Report
04/29/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Douglas K. Zima

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

VSR FINANCIAL SERVICES, INC.

THE MASTERS, INC.

VSR FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

F.J. GARBER & CO.

LOCUST STREET SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/22/2000

Series 63

Date: 2/21/1983

SIE

Date: 10/1/2018

Series 7

Date: 5/9/1991

Series 6

Date: 1/27/1983

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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