KR
Kenneth A. Rizzio
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Farmington, CT 06032
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CRD#: 1173625
KR
Professional summary
Kenneth Anthony Rizzio, AIF® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Farmington, Connecticut and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Farmington, Connecticut.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Kenneth has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22, Series 6 and Series 26 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) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 2) OHANESIAN AND LECOURS, INC, 433 S MAIN ST, WEST HARTFORD, CT, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES,01/02/18, NIR, 5/WK- 0/TRADING 3) OSJ PARTNERS, 433 SOUTH MAIN ST, STE 104, WEST HARTFORD, CT, ADV REP OF A REG INV ADVISOR, 01/01/21, INV REL, MEMBER, 4 HR/WK- 0/TRADING HR. 4) KENNETH RIZZIO, 1262 SUGAR SANDS BLVD RIVIERA BEACH FL 33404, 01/2023, OWNER, REAL ESTATE, NIR, 2 HR/MO 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Anthony Rizzio'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
November 9, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 74 Batterson Park Rd. Ste. 303, Farmington, CT 06032RIA
CRD#: 134139
Farmington, CT
Current
November 7, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 74 Batterson Park Rd. Ste. 303, Farmington, CT 06032BD
CRD#: 39543
Farmington, CT
Past
January 16, 1996 - December 14, 2018
OHANESIAN / LECOURS, INC.
RIA
CRD#: 23757
WEST HARTFORD, CT
Past
November 3, 1994 - December 14, 2018
OHANESIAN / LECOURS, INC.
BD
CRD#: 23757
WEST HARTFORD, CT
Past
June 19, 1991 - November 22, 1994
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
May 4, 1990 - April 30, 1991
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
June 30, 1986 - February 6, 1990
WATSON FINANCIAL SERVICES CORPORATION
BD
CRD#: 16432
Past
November 5, 1985 - June 27, 1986
LINSCO FINANCIAL GROUP, INC.
BD
CRD#: 524
Past
November 22, 1983 - December 5, 1985
WASHINGTON NATIONAL EQUITY COMPANY
BD
CRD#: 4242
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
California(11/7/2018)
RR
Connecticut(11/9/2018)
IAR
Connecticut(11/9/2018)
RR
Florida(11/7/2018)
RR
Georgia(11/7/2018)
RR
Maine(12/14/2018)
RR
Massachusetts(12/14/2018)
RR
New Hampshire(12/14/2018)
RR
New Jersey(11/7/2018)
RR
New York(11/7/2018)
RR
North Carolina(12/14/2018)
RR
Pennsylvania(7/28/2020)
RR
Rhode Island(11/19/2018)
RR
South Carolina(12/12/2018)
RR
Tennessee(1/3/2023)
RR
Vermont(11/16/2018)
RR
Virgin Islands(2/5/2025)
IAR
Virgin Islands(2/11/2025)
RR
Virginia(12/14/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/11/2008
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
