KL
Kim D. Larkin
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Jacksonville Beach, FL
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CRD#: 1474968
KL
Professional summary
Kim David Larkin is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Jacksonville Beach, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Boca Raton, Florida.
Kim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Kim has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 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-CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 11/2015 AS ADVISORY REP OF A RIA. INV REL - 40 HR/WK - 40/TRADING. 2-GENERATIONS WEALTH ADVISORS LLC, 1300 N FEDERAL HWY, STE 101, BOCA RATON, FL, 11/2015 SELLING LIFE & HEALTH PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 15 HR/WK - 5/TRADING. 3-KIM LARKIN, 4300 S Beach Pkwy, Unit 3322, Jacksonville Beach FL 32250, United States, 04/17/2023, Referrer, 1099 Contractor, NIR, 0 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Kim David Larkin'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
November 16, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 1300 N Federal Hwy. Ste 101, Boca Raton, FL 33432RIA
CRD#: 134139
Jacksonville Beach, FL
Current
November 16, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1300 N Federal Hwy Ste 101, Boca Raton, FL 33432BD
CRD#: 39543
Boca Raton, FL
Past
April 29, 2011 - November 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW HAVEN, CT
Past
April 29, 2011 - November 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW HAVEN, CT
Past
October 23, 2009 - May 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
RIDGEFIELD, CT
Past
October 23, 2009 - May 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
RIDGEFIELD, CT
Past
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
DANBURY, CT
Past
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
DANBURY, CT
Past
August 12, 2004 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
STAMFORD, CT
Past
August 11, 2004 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
February 28, 2003 - August 17, 2004
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
March 7, 2001 - February 19, 2003
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW YORK, NY
Past
August 30, 1999 - February 19, 2003
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
March 30, 1998 - August 30, 1999
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
June 6, 1997 - May 6, 1998
FLEET ENTERPRISES, INC.
BD
CRD#: 17434
NEW YORK, NY
Past
July 20, 1992 - May 6, 1997
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
January 9, 1992 - July 20, 1992
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
April 17, 1990 - November 18, 1991
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
PITTSFIELD, MA
Past
August 26, 1988 - September 29, 1989
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
August 26, 1988 - September 29, 1989
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
November 25, 1987 - May 6, 1988
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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
Connecticut(11/16/2015)
RR
Florida(11/16/2015)
IAR
Florida(12/8/2015)
RR
Missouri(6/7/2024)
RR
New York(11/16/2015)
RR
North Carolina(11/16/2015)
RR
Pennsylvania(8/8/2016)
RR
Texas(6/19/2020)
IAR
Texas(6/22/2020)
Exams
State Security Law Exam
State Security Law 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.
