KK
Karl R. Knade
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Saint Simons Island, GA
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CRD#: 1371684
KK
Professional summary
Karl Roman Knade is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Saint Simons Island, Georgia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Easton, Maryland.
Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Karl has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 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) KNADE FINANCIAL GROUP LLC, 121 N West Street, Easton MD 21601, United States, 01/16/2007, Owner, Insurance/Benefits/Human Resources, NIR, 10 HR/MO - 8 HR/MO TRADING 2) KNADE FINANCIAL GROUP, LLC, 121 N West Street, Easton MD 21601, United States, 12/19/2006, Owner, DBA Name, INV REL, 160 HR/MO - 120 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 12/2006, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO 80 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Karl Roman Knade'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
December 19, 2006 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 121 N West St., Easton, MD 21601RIA
CRD#: 134139
Saint Simons Island, GA
Current
December 19, 2006 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 121 N West St., Easton, MD 21601BD
CRD#: 39543
Easton, MD
Past
May 1, 2002 - December 20, 2006
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
EASTON, MD
Past
March 9, 2002 - December 20, 2006
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
EASTON, MD
Past
May 3, 1999 - March 9, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
September 1, 1997 - May 6, 1999
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
March 23, 1995 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
December 23, 1992 - December 12, 1994
PFM, INC.
BD
CRD#: 24547
HARRISBURG, PA
Past
May 26, 1992 - September 9, 1992
TRIO SECURITIES, INC.
BD
CRD#: 19141
LOS ANGELES, CA
Past
November 17, 1986 - June 5, 1990
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
Past
June 18, 1985 - September 17, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(1/2/2008)
RR
Arizona(1/2/2015)
RR
California(12/19/2006)
RR
Colorado(1/2/2018)
RR
Delaware(1/2/2008)
RR
District of Columbia(7/30/2010)
RR
Florida(12/19/2006)
RR
Georgia(12/19/2006)
IAR
Georgia(10/28/2025)
RR
Idaho(1/2/2024)
RR
Illinois(12/19/2006)
RR
Maryland(12/19/2006)
IAR
Maryland(12/19/2006)
RR
Massachusetts(1/2/2008)
RR
Michigan(12/19/2006)
RR
Minnesota(1/4/2021)
RR
New Hampshire(1/3/2023)
RR
New Jersey(12/19/2006)
RR
New York(12/19/2006)
RR
North Carolina(12/19/2006)
RR
Ohio(1/2/2008)
RR
Pennsylvania(12/19/2006)
RR
South Carolina(1/6/2014)
RR
Texas(1/3/2017)
IAR
Texas(1/3/2017)
RR
Virginia(1/2/2008)
RR
West Virginia(1/3/2012)
RR
Wyoming(4/1/2025)
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
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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
