RU
Rohin L. Ullberg
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Flossmoor, IL 60422
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CRD#: 1852017
RU
Professional summary
Rohin Lawrence Ullberg, ChFC®, CLU®, who also goes by Rohin L Ullberg, Rohin Ullberg, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Flossmoor, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Flossmoor, Illinois.
Rohin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Rohin has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rohin L Ullberg | Rohin Ullberg
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) ROHIN ULLBERG, 1835 DIXIE HIGHWAY SUITE 101 FLOSSMOOR IL, 12/2006, OWNER, REAL ESTATE, NIR, 1 HR/MO 1 HR/MO TRADING 2) HEARTLAND INVESTMENT USA, 1835 DIXIE HIGHWAY SUITE 101 FLOSSMOOR IL, 09/1996, OWNER, DBA, INV REL, 200 HR/MO 200 HR/MO TRADING 3) WA PROPERTIES, 1709 LYNWOOD COURT FLOSSMOOR IL, 01/2007, OWNER, REAL ESTATE, NIR, 1 HR/MO 1 HR/MO TRADING 4) HAPPY'S CAR WASH, 309 EAST ROUTE IL ROUTE 173 ANTIOCH IL, 09/2022, OWNER, CAR WASH, NIR, 25 HR/MO 0 HR/MO TRADING 5) HEARTLAND INVESTMENT, 1835 DIXIE HIGHWAY SUITE 101 FLOSSMOOR IL, 09/1996, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 2 HR/MO 1 HR/MO TRADING 6) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. 10/23/2024
CRS (Client Relationship Summary) - RIA
Click below to view Rohin Lawrence Ullberg'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
October 15, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1835 Dixie Hwy. Ste. 101, Flossmoor, IL 60422RIA
CRD#: 134139
Flossmoor, IL
Current
October 15, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1835 Dixie Hwy. Ste. 101, Flossmoor, IL 60422BD
CRD#: 39543
Flossmoor, IL
Past
September 21, 2016 - October 16, 2024
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
Flossmoor, IL
Past
September 16, 2016 - October 16, 2024
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
Flossmoor, IL
Past
December 1, 2008 - October 7, 2016
SII INVESTMENTS, INC.
RIA
CRD#: 2225
FLOSSMOOR, IL
Past
December 1, 2008 - October 7, 2016
SII INVESTMENTS, INC.
BD
CRD#: 2225
FLOSSMOOR, IL
Past
June 1, 2006 - December 4, 2008
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
FLOSSMOOR, IL
Past
May 12, 2006 - December 4, 2008
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
FLOSSMOOR, IL
Past
February 3, 1999 - May 23, 2006
SII INVESTMENTS, INC.
RIA
CRD#: 2225
PARK FOREST, IL
Past
September 25, 1996 - May 23, 2006
SII INVESTMENTS, INC.
BD
CRD#: 2225
PARK FOREST, IL
Past
August 18, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
August 18, 1988 - September 20, 1996
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(10/15/2024)
RR
Arkansas(10/15/2024)
RR
California(10/15/2024)
RR
Colorado(10/15/2024)
RR
Connecticut(10/15/2024)
RR
Florida(10/15/2024)
RR
Georgia(10/16/2024)
RR
Illinois(10/16/2024)
IAR
Illinois(10/23/2024)
RR
Indiana(10/16/2024)
RR
Iowa(10/15/2024)
RR
Maryland(10/29/2024)
RR
Massachusetts(10/15/2024)
RR
Michigan(10/15/2024)
RR
Minnesota(10/16/2024)
RR
Mississippi(10/15/2024)
RR
Nevada(1/8/2025)
RR
New York(10/15/2024)
RR
North Carolina(10/17/2024)
RR
Ohio(10/15/2024)
RR
Oklahoma(10/16/2024)
RR
Pennsylvania(10/15/2024)
RR
South Carolina(10/15/2024)
RR
Tennessee(10/15/2024)
RR
Texas(10/15/2024)
IAR
Texas(10/15/2024)
RR
Virginia(10/15/2024)
RR
Washington(7/7/2025)
RR
Wisconsin(10/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 5/8/1997
Corporate Securities Limited Representative ExaminationGeneral 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
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Flossmoor, IL 60422TRUST BUT VERIFY
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