CP
Christopher P. Polk
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Littleton, CO 80127
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CRD#: 1741116
CP
Professional summary
Christopher Paul Polk, who also goes by Chris Paul Polk, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Littleton, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Littleton, Colorado.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Christopher 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
Chris Paul Polk
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)ROCKY MOUNTAIN CAPITAL PARTNERS LLC 13984 W. BOWLES AVE # 200 LITTLETON, CO 80127. BEGAN 3/15/12 AS REAL ESTATE PROPERTY MANAGING REAL ESTATE PROPERTY MANAGEMENT. NOT INVESTMENT RELATED. DEVOTES 5 HRS/WK. NONE DURING TRADING. 2.RMFG LLC, 13984 W BOWLES AVE STE 200, LITTLETON, CO, 1/2019 AS MANAGING MEMBER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/MO - 0/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4. CHRIS P POLK FINANCIAL GROUP, LLC, 13984 W BOWLES AVE, STE 200, LITTLETON, CO, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 10/01/14, MANAGING MEMBER, 2/MO- 0/TRADING 5. CHRIS P POLK 13984 W BOWLES AVE, STE 200, LITTLETON, CO, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 02/01/11, OWNER/PRESIDENT, 20/WK- 4/TRADING 6. CLIFF P POLK JR, FAMILY LTD PARTNERSHIP, PO BOX 200, OSH KOSH, NE, FARMING - PARTNER, NIR, 07/10/85, 6/MO- 0/TRADING 7) TAMPA RENTAL, 6404 JOSEPHINE ARBOR PLACE, TEMPLE TERRACE, FL, RENTAL PROPERTY OWNER, 10/26/20, NIR, 2/MO- 0/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Paul Polk'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
August 11, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 13984 W Bowles Ave., #200, Littleton, CO 80127RIA
CRD#: 134139
Littleton, CO
Current
August 11, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 13984 W Bowles Ave., #200, Littleton, CO 80127BD
CRD#: 39543
Littleton, CO
Past
October 12, 2000 - August 12, 2008
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
February 15, 2000 - August 12, 2008
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
March 1, 1996 - February 15, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
December 18, 1987 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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(1/26/2017)
RR
California(8/11/2008)
RR
Colorado(8/11/2008)
IAR
Colorado(8/11/2008)
RR
District of Columbia(2/12/2019)
RR
Florida(2/11/2010)
RR
Georgia(1/2/2024)
RR
Iowa(9/30/2019)
RR
Maine(8/28/2025)
RR
Minnesota(5/8/2024)
RR
Nebraska(2/19/2021)
RR
New Mexico(8/11/2008)
RR
North Carolina(8/23/2023)
RR
Ohio(5/15/2018)
RR
Utah(10/22/2019)
RR
Washington(7/29/2025)
RR
Wyoming(5/29/2014)
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.
