SL
Steven J. Lind
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Kearney, NE 68845
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CRD#: 1335859
SL
Professional summary
Steven James Lind, CFP®, who also goes by Steve Lind, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Kearney, Nebraska and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Kearney, Nebraska.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Steven has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Lind
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.LIND FINANCIAL SERVICES, 29 CAMELOT WAY, KEARNEY, NE, 11/2017 AS FOUNDER, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/WK - 1/TRADING. 2.CITY OF KEARNEY, 2020 1ST AVE, KEARNEY, NE, 3/2015 AS BOARD MEMBER/BOARD OF ADJUSTMENT. NIR - 2/MO - 2/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. 11/07/17. 4.COSMOS, 4825 2ND AVE, KEARNEY, NE, 3/2009, AS BOARD MEMBER, NIR, 1HR/MO, 1HR/TRADING. 5.LIND FINANCIAL SERVICE KEARNEY, LLC, 29 Camelot Way, Kearney NE 68845, 08/2022, Agent, DBA for accounting purposes only, NIR, 160 HR/MO - 160 HR/MO Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Steven James Lind'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: 1993
Experience
Current
November 7, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 29 Camelot Way, Kearney, NE 68845RIA
CRD#: 134139
Kearney, NE
Current
November 3, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 29 Camelot Way, Kearney, NE 68845BD
CRD#: 39543
Kearney, NE
Past
May 31, 2002 - November 7, 2017
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
KEARNEY, NE
Past
March 26, 2002 - November 7, 2017
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MCCOOK, NE
Past
July 17, 1997 - March 21, 2002
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
February 7, 1994 - June 27, 1997
COMMERCE BROKERAGE SERVICES, INC.
BD
CRD#: 17140
CLAYTON, MO
Past
March 14, 1991 - January 1, 1994
INFINET SECURITIES, INC.
BD
CRD#: 25976
Past
February 15, 1990 - September 26, 1990
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
October 2, 1989 - November 30, 1989
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
November 14, 1988 - October 7, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
March 19, 1986 - November 14, 1988
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
Past
April 24, 1985 - November 18, 1985
EDWARD JONES
BD
CRD#: 250
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
Arizona(11/3/2017)
RR
California(4/12/2023)
RR
Colorado(11/3/2017)
RR
Georgia(2/26/2025)
RR
Iowa(6/16/2021)
RR
Kansas(11/3/2017)
RR
Michigan(1/10/2025)
RR
Missouri(11/3/2017)
RR
Nebraska(11/3/2017)
IAR
Nebraska(11/7/2017)
RR
Oklahoma(11/3/2017)
RR
Oregon(11/20/2020)
RR
Texas(2/9/2018)
IAR
Texas(2/9/2018)
RR
Virginia(1/20/2023)
RR
Wyoming(11/3/2017)
Exams
State Security Law Exam
General 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.
