Raul A. Calle
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
NEWTOWN, PA 18940
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CRD#: 1224901
Professional summary
Raul Alberto Calle, AIF®, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Newtown, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Newtown, Pennsylvania.
Raul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Raul has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 10, Series 9, Series 24 and Series 8 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) COMPREHENSIVE INSURANCE RISK MANAGEMENT LLC, 235 N SYCAMORE ST, NEWTOWN, PA, 10/2013 AS MANAGING PARTNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 20/MO - 10/TRADING. 2) CALLE CONNECTION INC 511 GRAND AVE, WEST TRENTON, NJ 08628. BEGAN 2/2/07 AS AUTHORIZED SIGNATORY. S-CORP PROVIDES BOOKKEEPING AND OPERATIONAL ASSISTANCE TO CALLE FINANCIAL NETWORK LLC. DEVOTES 1 HR/WK, NONE DURING TRADING. 3) CALLE ENTERPRISES LLC, 235 N SYCAMORE ST, NEWTOWN, PA, 5/2013 AS OWNER OF PERSONAL OFFICE RENTAL SPACE. NIR - 1/YR - 0/TRADING. 4) CALLE FINANCIAL NETWORK, LLC. NEWTOWN, PA. STARTED 2/2007 AS MANAGING PARTNER. DBA NAME. INV REL - 45 HR/WK, 32.5/TRADING. 5) OCEAN HIGH CONDOMINIUM ASSOCIATION, 503 32ND ST, OCEAN CITY, MD, 10/27/2018 AS BOARD MEMBER/PRESIDENT. NIR - 5/MO - 0/TRADING. 6) RAUL AND DEBRA CALLE, 511 GRAND AVE, EWING, NJ, VACATION PROPERTY RENTAL, 08/13/21, NIR, CO-OWNER, 1 HR/MO- 0/TRADING HR. 7) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 02/02/2007 8) WILD BAY LANDING CONDOMINIUM ASSOCIATION, 504 32nd Street, Unit7, Ocean City MD 21842, 06/03/2023, President, Real Estate, NIR, 2 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Raul Alberto Calle'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®
CFP®
Start date: 2007
Experience
Current
February 2, 2007 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 235 North Sycamore St, Newtown, PA 18940RIA
CRD#: 134139
NEWTOWN, PA
Current
February 2, 2007 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 235 North Sycamore Street, Newtown, PA 18940BD
CRD#: 39543
Newtown, PA
Past
November 10, 2003 - November 17, 2006
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY
RIA
CRD#: 109729
MILWAUKEE, WI
Past
December 5, 2002 - February 1, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
MT LAUREL, NJ
Past
October 22, 1985 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
January 4, 1984 - February 1, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MT LAUREL, 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
Alabama(10/29/2021)
RR
California(2/9/2016)
RR
Colorado(9/23/2019)
RR
Connecticut(2/2/2007)
RR
Delaware(2/2/2007)
RR
District of Columbia(7/22/2020)
RR
Florida(2/2/2007)
RR
Georgia(2/2/2007)
RR
Hawaii(8/3/2023)
RR
Illinois(12/15/2020)
RR
Indiana(1/3/2011)
RR
Maine(8/18/2020)
RR
Maryland(9/23/2019)
RR
Massachusetts(10/11/2023)
RR
Michigan(1/29/2020)
RR
Missouri(10/4/2017)
RR
Montana(10/26/2015)
RR
New Hampshire(2/6/2018)
RR
New Jersey(2/2/2007)
RR
New York(2/2/2007)
RR
North Carolina(1/25/2012)
RR
Ohio(8/18/2021)
RR
Oklahoma(1/3/2012)
RR
Oregon(4/6/2021)
RR
Pennsylvania(2/2/2007)
IAR
Pennsylvania(2/2/2007)
RR
South Carolina(1/2/2015)
RR
South Dakota(5/19/2021)
RR
Texas(3/1/2017)
IAR
Texas(3/1/2017)
RR
Utah(8/12/2021)
RR
Virginia(2/2/2007)
RR
Washington(7/8/2020)
RR
West Virginia(5/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/2/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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
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Check for any disclosures as part of your thorough research when choosing an advisor.
