RT
Richard W. Torgerson
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Baltimore, MD 21202
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CRD#: 1396684
RT
Professional summary
Richard Warren Torgerson, AIF®, who also goes by Rik Torgerson, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Baltimore, Maryland and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Baltimore, Maryland.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 3, Series 7, Series 39, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rik Torgerson
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, 160 HR/MO - 120 HR/MO TRADING. 05/12/2015 2) SHAREPOWER RESPONSIBLE INVESTING, 233 East Redwood Street, STE 400G, Baltimore MD 21202, United States, 04/19/2024, Owner, Using a Trade Name/dba, INV REL, 300 HR/MO - 130 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Richard Warren Torgerson'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
May 12, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: The Redwood Exchange 233 East Redwood St., Ste. 400g, Baltimore, MD 21202RIA
CRD#: 134139
Baltimore, MD
Current
May 12, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: The Redwood Exchange 233 East Redwood St., Ste. 400g, Baltimore, MD 21202BD
CRD#: 39543
Baltimore, MD
Past
February 28, 2003 - April 9, 2004
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
RIA
CRD#: 109036
RANDALLSTOWN, MD
Past
May 31, 2002 - May 11, 2015
FINANCIAL WEST GROUP
RIA
CRD#: 16668
WESTMINSTER, MD
Past
May 6, 1999 - May 11, 2015
FINANCIAL WEST GROUP
BD
CRD#: 16668
WESTMINSTER, MD
Past
January 3, 1997 - May 12, 1999
EQIS SECURITIES, LLC
BD
CRD#: 20633
SAN RAFAEL, CA
Past
June 4, 1993 - December 10, 1996
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
September 24, 1985 - June 16, 1993
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(5/12/2015)
RR
Alaska(5/12/2015)
RR
Arizona(5/12/2015)
RR
Arkansas(5/12/2015)
RR
California(5/12/2015)
RR
Colorado(5/12/2015)
RR
Connecticut(5/12/2015)
RR
Delaware(5/12/2015)
RR
District of Columbia(5/12/2015)
RR
Florida(5/12/2015)
RR
Georgia(5/12/2015)
RR
Hawaii(5/12/2015)
RR
Idaho(5/12/2015)
RR
Illinois(5/12/2015)
RR
Indiana(5/12/2015)
RR
Iowa(5/12/2015)
RR
Kansas(5/12/2015)
RR
Kentucky(5/12/2015)
RR
Louisiana(5/12/2015)
RR
Maine(5/12/2015)
RR
Maryland(5/12/2015)
IAR
Maryland(5/12/2015)
RR
Massachusetts(5/12/2015)
RR
Michigan(5/12/2015)
RR
Minnesota(5/12/2015)
RR
Mississippi(5/12/2015)
RR
Missouri(5/12/2015)
RR
Montana(5/12/2015)
RR
Nebraska(5/12/2015)
RR
Nevada(5/12/2015)
RR
New Hampshire(5/12/2015)
RR
New Jersey(5/12/2015)
RR
New Mexico(5/12/2015)
RR
New York(5/12/2015)
RR
North Carolina(5/12/2015)
RR
North Dakota(5/12/2015)
RR
Ohio(5/12/2015)
RR
Oklahoma(5/12/2015)
RR
Oregon(5/12/2015)
RR
Pennsylvania(5/12/2015)
RR
Rhode Island(5/12/2015)
RR
South Carolina(5/12/2015)
RR
South Dakota(5/12/2015)
RR
Tennessee(5/12/2015)
RR
Texas(5/12/2015)
IAR
Texas(1/5/2017)
RR
Utah(5/12/2015)
RR
Vermont(5/12/2015)
RR
Virgin Islands(1/3/2023)
RR
Virginia(5/12/2015)
RR
Washington(5/12/2015)
RR
West Virginia(5/12/2015)
RR
Wisconsin(5/12/2015)
RR
Wyoming(5/12/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Baltimore, MD 21202TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
