SH
Stephen M. Horvath
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
TUCSON, AZ 85719
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CRD#: 1946774
SH
Professional summary
Stephen Michel Horvath, AIF® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Tucson, Arizona and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Tucson, Arizona.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Stephen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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, 13500 SUMMIT CIR, POWAY, CA, 1/1990 for various independent insurance companies. INV REL - 5/MO - 0/TRADING 2. 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. 3. SUMMIT CIRCLE, LLC / 30 N Gould Street, Suite R, Sheridan WY 82801 / 07/15/2017 / OWNER - RENTAL PROPERTY IN CA / 1 HR/MO - 0 HR/MO TRADING 4. ERUDITIUS WEALTH ADVISORS, INC DBS PRZEWLOCKI HORVATH, 2030 E Speedway Blvd, Suite 220, Tucson AZ 85719, 03/2025, Owner, Owner/Partner of a Business Entity, INV REL, 10 HR/MO, 5 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Michel Horvath'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
February 3, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2030 E Speedway Blvd, Tucson, AZ 85719RIA
CRD#: 134139
TUCSON, AZ
Current
February 2, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2030 E Speeway Blvd. Ste 220, Tucson, AZ 85719BD
CRD#: 39543
Tucson, AZ
Past
April 30, 2009 - February 3, 2016
SII INVESTMENTS, INC.
RIA
CRD#: 2225
CHANDLER, AZ
Past
April 30, 2009 - February 3, 2016
SII INVESTMENTS, INC.
BD
CRD#: 2225
CHANDLER, AZ
Past
November 27, 2006 - May 4, 2009
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
SCOTTSDALE, AZ
Past
November 27, 2006 - May 4, 2009
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
SCOTTSDALE, AZ
Past
January 30, 2006 - December 4, 2006
OSAIC SERVICES, INC.
RIA
CRD#: 133763
SAN DIEGO, CA
Past
October 31, 2005 - December 4, 2006
OSAIC SERVICES, INC.
BD
CRD#: 133763
SAN DIEGO, CA
Past
February 28, 2000 - January 30, 2006
THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 107773
MISSION VIEJO, CA
Past
December 2, 1996 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
May 23, 1989 - December 2, 1996
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 23, 1989 - December 2, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(2/2/2016)
IAR
Arizona(1/9/2017)
RR
California(2/2/2016)
IAR
California(6/24/2025)
RR
Hawaii(11/16/2018)
RR
Idaho(1/22/2025)
RR
Illinois(11/16/2018)
RR
Indiana(11/14/2024)
RR
Maryland(11/16/2018)
RR
Missouri(11/16/2018)
RR
Nevada(1/16/2025)
RR
New Hampshire(5/21/2020)
RR
New Jersey(2/2/2016)
RR
New York(11/16/2018)
RR
Pennsylvania(5/30/2025)
RR
Puerto Rico(4/8/2020)
IAR
Puerto Rico(6/15/2022)
RR
Tennessee(1/8/2021)
RR
Texas(11/16/2018)
IAR
Texas(11/16/2018)
RR
Virginia(2/2/2016)
RR
Washington(2/2/2016)
RR
Wisconsin(2/19/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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.
