KH
Karen D. Hawley
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Temple, TX 76508
Some features on this profile are disabled
CRD#: 1139119
KH
Professional summary
Karen Denise Hawley is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Temple, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Temple, Texas.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Karen has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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)CAL-ROZE DEVELOPMENT CO, 4516 ELF TRAIL, BELTON, TX,AS VICE PRESIDENT OF FAMILY OWNED COMPANY THAT WAS FORMED TO HOLD REAL ESTATE TO BE DEVELOPED INTO RESIDENTIAL PROPERTY. PROPERTY HAS SINCE BEEN SOLD OUTSIDE OF THIS BUSINESS AND HOLDS NO ASSETS. SPEND 0 HOURS DURING TRADING HOURS. NOT INVESTMENT RELATED. 2)PRESTIGE FINANCIAL, 4516 ELF TRL, BELTON, TX, 1/1983 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/WK - 1/TRADING. 3)ESCARPMENT ARCHITECTUAL CONTROL COMMITTEE, 4610 ELF TRAIL, BELTON, TX 76513, BOARD MEMBER WHO APPROVES ACTS WITH OTHER MEMBERS TO APPROVE BUILDINGS OR ADDITIONS IN SUB-DIVISION OF 45 LOTS., BOARD MEMBER , SINCE 6/1/02, NON-INVESTMENT RELATED, 4 HOURS YEARLY, NONE DURING TRADING HOURS. 4)ESCARPMENT MANAGEMENT LLC & ESCARPMENT INVESTMENTS LTD, 4610 ELF TRAIL, BELTON, TX 76513. BEGAN 8/2002 AS CO-MANAGER- DAUGHTER IN FAMILY LIMITED PARTNERSHIP SET UP BY MY PARENTS FOR ESTATE TAX PLANNING IN WHICH THE FLP HOLDS REAL ESTATE AND FIDELITY MUTUAL FUNDS. DEVOTES 1 HR/MO- NONE DURING TRADING. 5)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 30/WK - 25/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 6)WINE TRAIL GETAWAY, 4516 ELF TRAIL, BELTON, TX, VACATION HOME RENTAL, 05/25/21, NIR, CO-OWNER, 2 HR/MO- 0/TRADING HR.
CRS (Client Relationship Summary) - RIA
Click below to view Karen Denise Hawley'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
January 3, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2401 S 31st St., Temple, TX 76508RIA
CRD#: 134139
Temple, TX
Current
November 6, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2401 S 31st St, Temple, TX 76508BD
CRD#: 39543
Temple, TX
Past
August 1, 2008 - November 7, 2012
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
BELTON, TX
Past
June 6, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
TEMPLE, TX
Past
May 28, 2003 - October 22, 2007
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
TEMPLE, TX
Past
June 8, 1983 - February 7, 2002
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Texas(11/6/2012)
IAR
Texas(1/3/2013)
Exams
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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
