LK
Lee J. Kaz
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Mokena, IL 60448
Some features on this profile are disabled
CRD#: 1163413
LK
Professional summary
Lee Joseph Kaz, who also goes by Kaz Kaczmarzewski, Lee Joseph Kaczmarzewski, Lee J Kaz, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Mokena, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Mokena, Illinois.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Lee has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kaz Kaczmarzewski | Lee Joseph Kaczmarzewski | Lee J Kaz
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, 06/2020, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING. 2) MOKENA POLICE PENSION BOARD, 10907 FRONT STREET, MOKENA IL, 07/2015, BOARD MEMBER OF A PUBLIC ENTITY, NIR, 4 HR/YR, 0 HR/MO TRADING. 3) ASCEND WEALTH PLANNING, MOKENA IL, 01/2023, OWNER, DBA, NIR, 50 HR/MO, 40 HR/MO TRADING. 4) ASCEND WEALTH PLANNING, 18700 S WOLF RD, SUITE 211, MOKENA, IL, 01/2023, OWNER, WEALTH MANAGEMENT, INV REL, 50 HR/MO, 40 HR/MO TRADING. 5) ASCEND WEALTH PLANNING, LLC, 18700 S WOLF RD, SUITE 211, MOKENA, IL, 01/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 50 HR/MO, 40 HR/MO TRADING. 6) KAZCO, LLC, 18700 S WOLF RD, SUITE 211, MOKENA, IL, 05/2022, PRESIDENT, BUSINESS ENTITY, NIR, 1 HR/MO, 0 HR/MO TRADING. 7) ASCEND PLANNING NETWORK, LLC, 18700 WOLF RD, 211, MOKENA, IL 60448-8456, 01/2024, OWNER, FOR PAYROLL & RENT PURPOSES, NIR, 8 HR/MO - 0 HR/MO TRADING. 8) LEE JOSEPH KAZ - NOTARY, 18700 Wolf Rd, 211, Mokena IL 60448-8456, United States, 09/12/2024, Notary, NIR, 1 HR/MO - 1 HR/MO TRADING. 9) BUILDERS TEE CLUB, Mokena IL 60448, United States, 10/01/2025, Board Member, Sport/Fitness/Gaming, Not Investment Related, 20 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Lee Joseph Kaz'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 24, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 18700 S. Wolf Road Suite 211, Mokena, IL 60448RIA
CRD#: 134139
Mokena, IL
Current
June 24, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 18700 S. Wolf Road Suite 211, Mokena, IL 60448BD
CRD#: 39543
Mokena, IL
Past
September 24, 2009 - June 30, 2020
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MOKENA, IL
Past
July 7, 2008 - June 30, 2020
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MOKENA, IL
Past
August 8, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
ORLAND PARK, IL
Past
August 8, 2005 - July 1, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ORLAND PARK, IL
Past
April 21, 2004 - July 28, 2005
ASSOCIATED OPTIONS, INC.
BD
CRD#: 37929
CHICAGO, IL
Past
August 11, 2003 - November 10, 2003
ASSOCIATED OPTIONS, INC.
BD
CRD#: 37929
CHICAGO, IL
Past
November 27, 2002 - May 8, 2003
DASH PRIME LLC
BD
CRD#: 41257
CHICAGO, IL
Past
September 30, 1998 - May 6, 2002
FIRST OPTIONS OF CHICAGO, INC.
BD
CRD#: 13822
CHICAGO, IL
Past
January 21, 1998 - September 30, 1998
LIT CLEARING SERVICES, INC.
BD
CRD#: 33997
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(9/3/2025)
RR
Arizona(6/24/2020)
RR
Florida(6/24/2020)
RR
Illinois(6/24/2020)
IAR
Illinois(6/24/2020)
RR
Indiana(6/24/2020)
RR
Ohio(6/24/2020)
RR
Texas(6/24/2020)
IAR
Texas(6/24/2020)
RR
Wisconsin(6/24/2020)
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.
