WH
William E. Hauenstein
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Kerrville, TX
Some features on this profile are disabled
CRD#: 1902043
WH
Professional summary
William Eugene Hauenstein, who also goes by Bill Hauenstein, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Kerrville, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Kerrville, Texas.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. William has worked at 12 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Hauenstein
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) WILLIAM HAUENSTEIN, 149 ROUNDABOUT LN, KERRVILLE TX, 10/1985, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 8 HR/MO, 6 HR/MO TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 11/2023, ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 3) WILLIAM HAUENSTEIN, 149 ROUNDABOUT LN, KERRVILLE TX 78028, 7/2003, Owner, Real Estate, NIR, 2 HR/MO - 1 HR/MO TRADING 4) COMPETITIVE EDGE WEALTH MANAGEMENT LLC, 149 Roundabout Ln, Kerrville TX 78028, United States, 12/01/2012, Owner, DBA Name, INV REL, 120 HR/MO, 120 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view William Eugene Hauenstein'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 27, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Kerrville, TX
Current
November 27, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Kerrville, TX
Past
March 4, 2013 - December 14, 2023
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
KERRVILLE, TX
Past
March 1, 2013 - December 14, 2023
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
KERRVILLE, TX
Past
February 7, 2006 - March 7, 2013
OSAIC WEALTH, INC.
RIA
CRD#: 23131
ALBUQUERQUE, NM
Past
October 22, 1996 - March 7, 2013
OSAIC WEALTH, INC.
BD
CRD#: 23131
ALBUQUERQUE, NM
Past
July 25, 1995 - October 23, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
November 29, 1994 - July 21, 1995
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
APPLETON, WI
Past
June 27, 1994 - December 6, 1994
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
BOLTON, MA
Past
May 23, 1994 - June 14, 1994
EMMETT A LARKIN COMPANY, INC.
BD
CRD#: 6625
SAN FRANCISCO, CA
Past
February 15, 1994 - May 23, 1994
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
February 17, 1993 - February 24, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 17, 1993 - February 24, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
December 21, 1988 - February 23, 1993
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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(11/27/2023)
RR
Colorado(11/27/2023)
RR
Florida(11/27/2023)
RR
Nevada(11/27/2023)
RR
New Mexico(11/27/2023)
RR
Tennessee(11/27/2023)
RR
Texas(11/27/2023)
IAR
Texas(11/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 11/27/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
