TS
Tim D. Sullivan
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Kalona, IA 52247-0730
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CRD#: 1899809
TS
Professional summary
Tim D Sullivan, CFP®, who also goes by Timothy D Sullivan, Timothy Daniel Sullivan, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Kalona, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Kalona, Iowa.
Tim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Tim has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Timothy D Sullivan | Timothy Daniel Sullivan
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) JUNIOR ACHIEVEMENT, 324 3RD ST SE, STE 200, CEDAR RAPIDS, IA, 01/2019, CLASSROOM CONSULTANT, NIR, 2 HR/MO, 2 HR/MO TRADING. 2) LARRY GORDON AGENCY INC, 6723 WEAVER RD, STE 100, ROCKFORD, IL, 12/1996, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 5 HR/MO, 5 HR/ MO TRADING. 3) ACUMEN ADVISORS, 425 2ND ST SE, STE 1275, CEDAR RAPIDS, IA, 12/1996, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 0 HR/MO, 0 HR/MO TRADING. 4) TIM SULLIVAN, IOWA CITY, IA, 10/1970, HIGH SCHOOL SPORTS REFEREE, NIR, 80 HR/MO, 0 HR/MO TRADING. 5) ALBERHASKY SNOW REMOVAL, 401 E MARKET ST, IOWA CITY, IA, 01/2018, SNOW PLOW DRIVER, NIR, 4 HR/MO, 0 HR/MO TRADING. 6) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 7) FINANCIAL CONCEPTS LLC, 208 5TH ST, KALONA, IA, 03/2018, FINANCIAL PROFESSIONAL, DBA, INV REL, 200 HR/MO, 160 HR/MO TRADING. 8) COMMUNITY FOUNDATION OF WASHINGTON COUNTY, 831 S 13TH AVE, WASHINGTON, IA, 11/2021, BOARD MEMBER, CHARITABLE ORGANIZATION, NIR, 5 HR/MO, 5 HR/MO TRADING. 9) SULLIVAN ADVISORS, INC, KALONA, IA, 03/2022, OWNER, DBA, INV-REL, 200 HR/MO, 160 HR/MO TRADING. 10) BFS KALONA, LLC, 208 5TH ST, KALONA, IA, 01/2024, OWNER, DBA, INV REL, 200 HR/MO, 160 HR/MO TRADING. 11) BFS KALONA REAL ESTATE, LLC, 208 5TH ST, KALONA, IA, 01/2024, OWNER, REAL ESTATE, NIR, 1 HR/MO, 1 HR/MO TRADING. 12) Kalona Rotary, PO Box 536 Kalona, IA 52247, 06/26/2018, Board Member, NIA, 4 HR/MO, 4 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Tim D Sullivan'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: 2021
Experience
Current
March 26, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 208 5th St, Kalona, IA 52247-0730RIA
CRD#: 134139
Kalona, IA
Current
March 23, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 208 5th St, Kalona, IA 52247-0730BD
CRD#: 39543
Kalona, IA
Past
July 18, 2008 - March 27, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
CORALVILLE, IA
Past
March 8, 1997 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
March 8, 1997 - March 27, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
CORALVILLE, IA
Past
November 30, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
November 30, 1988 - December 23, 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(3/23/2018)
RR
Colorado(3/23/2018)
RR
Illinois(3/30/2018)
RR
Iowa(3/27/2018)
IAR
Iowa(3/27/2018)
RR
Minnesota(4/1/2018)
RR
Nebraska(8/6/2021)
RR
Wisconsin(10/27/2020)
Exams
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Kalona, IA 52247-0730TRUST BUT VERIFY
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