ST
Samuel L. Torrez
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
AURORA, CO 80014
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CRD#: 1726919
ST
Professional summary
Samuel Lyle Torrez, CFP®, ChFC®, who also goes by Sam Torrez, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Aurora, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Aurora, Colorado.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Samuel has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sam Torrez
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) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES. 2) J AND S ENTERPRISES, INC.; NOT INVESTMENT RELATED; 3131 S VAUGHN WAY, STE 210 AURORA, CO, 80014; S CORPORATION; PRESIDENT; BEGAN 10/22/2002; 0 HOURS SPENT AT THIS ACTIVITY;OUR CPA ADVISED US TO INCORPORATE FOR TAX PURPOSES. WE ARE CURRENTLY NOT RUNNING ANY BUSINESS THROUGH OUR S-CORP. OTHER THAN PAYING BILLS. 3) J AND S ENTERPRISES, 3131 S VAUGHN WAY, STE 210, AURORA, CO, OFFICE ASSISTANCE- OWNER, NIR, 8/MO- 0/TRADING 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 01/02/2009 5) CAMBRIDGE INVESTMENT RESEARCH, 3131 S. Vaughn Way, Suite 210, Aurora CO 80014, United States, 01/02/2009, IAR, DBA Name, INV REL, 160 HR/MO - 120 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Lyle Torrez'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: 2017
Experience
Current
January 2, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: Cherry Creek Place I 3131 S. Vaughn Way Suite 210, Aurora, CO 80014RIA
CRD#: 134139
AURORA, CO
Current
January 2, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: Cherry Creek Place I 3131 S. Vaughn Way, Ste 210, Aurora, CO 80014BD
CRD#: 39543
Aurora, CO
Past
January 4, 2005 - December 31, 2008
RMIN SECURITIES, INC.
RIA
CRD#: 47274
GREENWOOD VILLAGE, CO
Past
January 8, 2004 - January 5, 2009
RMIN SECURITIES, INC.
BD
CRD#: 47274
GREENWOOD VILLAGE, CO
Past
October 22, 2001 - December 31, 2003
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DENVER, CO
Past
May 30, 2001 - December 31, 2003
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
September 16, 1987 - May 16, 2001
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(1/2/2009)
RR
California(1/2/2009)
RR
Colorado(1/2/2009)
IAR
Colorado(1/2/2009)
RR
Illinois(5/24/2017)
RR
Maryland(5/13/2021)
RR
Missouri(4/29/2025)
RR
North Carolina(1/2/2025)
RR
Ohio(1/2/2024)
IAR
Texas(7/10/2019)
RR
Texas(7/11/2019)
RR
Virginia(1/3/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
