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Rick G. Utter
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CRD#: 1243431
RU
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.
Rick Gene Utter was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1984. Rick had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING, 06/12/20 2) HFI ADVISORS, 30 S MAIN ST, WEBB CITY, MO, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 09/20/01, NIR, 15/MO- 15/TRADING 3)WEBB CITY PLANNING AND ZONING COMMITTEE, 1060 N MADISON, WEBB CITY, MO, BOARD MEMBER OR A NON-PUBLIC ENTITY, CHAIRMAN OF COMMITTEE, 12/12/18, NIR, 1/MO- 0/TRADING 4)MEDICARE 4 STATES, 30 S MAIN ST, WEBB CITY, MO, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 12/15/19, NIR, 10/MO- 10/TRADING 5)HFI ADVISORS, 30 S MAIN ST, WEBB CITY, MO, INVESTMENT AND FINANCIAL PLANNING, FINANCIAL ADVISOR, 04/15/18, INV REL, 30/WK- 30/TRADING 6)WEBB CITY CARES, 30 S JEFFERSON, WEBB CITY, MO, BOARD MEMBER OF A NON PUBLIC ENTITY, 08/15/13 NIR, 2/MO-2/TRADING 7)HEARTLAND FINANCIAL GROUP OF WEBB CITY, INC. 30 S. MAIN ST, WEBB CITY, MO, INVESTMENT AND FINANCIAL PLANNING, 09/20/2001, INV REL 30 HR/WK- 30/TRADING HR. 8)JASPER COUNTY CASA, 420 GRAND AVE #159b, JOPLIN, MO, VOLUNTEER, 07/01/19, NIR, 1 HR/WK- 1/TRADING HR. 9)MEDICARE 4 STATES DBA HFI MEDICARE, 30 S. Main St., Webb City MO 64870, United States, 12/15/2019, Insurance Agent, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 10 HR/MO - 10 HR/MO TRADING
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®
NoneExperience
Past
June 12, 2020 - January 13, 2025
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Carthage, MO
Past
June 12, 2020 - January 13, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Carthage, MO
Past
March 13, 2017 - June 12, 2020
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Webb City, MO
Past
March 10, 2017 - June 12, 2020
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Webb City, MO
Past
January 19, 2010 - March 14, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
WEBB CITY, MO
Past
October 22, 2007 - March 14, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
WEBB CITY, MO
Past
October 1, 2002 - October 23, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
WEBB CITY, MO
Past
September 23, 1999 - December 31, 2004
HEARTLAND FINANCIAL ADVISORS GROUP, INC.
RIA
CRD#: 116114
WEBB CITY, MO
Past
March 13, 1984 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
