SY
Steven I. Yeh
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Amherst, NY 14228
Some features on this profile are disabled
CRD#: 2136208
SY
Professional summary
Steven I-kang Yeh, who also goes by Steven Ikang Yeh, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Amherst, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Amherst, New York.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Steven has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Ikang Yeh
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. STEVEN YEH, 1408 Sweet Home Rd, Suite 6, Amherst NY 14228, United States, 11/01/2024, Owner, Real Estate, NIR, 15 HR/MO - 15 HR/MO TRADING 2. STEVEN YEH, 1408 Sweet Home Rd, Suite 6, Amherst NY 14228, United States, 11/01/2024, Agent, Insurance/Benefits/Human Resources, NIR, 10 HR/MO - 10 HR/MO TRADING 3. Y ASSOCIATES LLC, 1408 SWEET HOME RD, SUITE 6, AMHERST NY 14228, United States, 11/01/2024, Owner, Real Estate, NIR, 10 HR/MO - 10 HR/MO TRADING 4. STEVEN YEH ATTORNEY AT LAW, 1408 Sweet Home Rd, Suite 6, Amherst NY 14228, United States, 11/01/2024, Owner, Tax Services, NIR, 40 HR/MO - 40 HR/MO TRADING 5. AMERICAN EDUCATION FOUNDATION, 1408 Sweet Home Rd, Suite 6, Amherst NY 14228, United States, 11/01/2024, Board Member, Volunteer, NIR, 5 HR/MO - 0 HR/MO TRADING 6. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING 11/01/2024 7. STEVEN YEH ATTORNEY AT LAW, 1408 Sweet Hoe Road, Suite 6, Amherst NY 14228, 01/2025, Notary Public in the State of New York, Notary, NIR, 2 HR/MO, 2 HR/MO TRADING. 8. SY ASSOCIATES, 1408 Sweet Home Road, Suite 6, Amherst NY 14228, United States, 02/25/2025, Founder, DBA Name, INV REL, 173HR/MO, 140 HR/MO TRADING. 9. STEVEN YEH, 1408 Sweet Home Road, Suite 6, Amherst NY 14228, United States, 08/20/2025, Agent, Insurance/Benefits/Human Resources, NIR, 1 HR/MO - 1 HR/MO TRADING 10. SY ASSOCIATES LLC, 1408 Sweet Home Rd, Suite 6, Amherst NY 14228, United States, 11/01/2024, Owner, Real Estate, NIR, 10 HR/MO - 10 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Steven I-kang Yeh'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 1, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1408 Sweet Home Road Suite 6, Amherst, NY 14228RIA
CRD#: 134139
Amherst, NY
Current
November 1, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1408 Sweet Home Road Ste. 6, Amherst, NY 14228BD
CRD#: 39543
Amherst, NY
Past
November 27, 2017 - November 4, 2024
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
AMHERST, NY
Past
November 27, 2017 - November 4, 2024
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
AMHERST, NY
Past
February 3, 2009 - December 4, 2017
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
AMHERST, NY
Past
February 3, 2009 - December 4, 2017
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
AMHERST, NY
Past
June 6, 2007 - February 4, 2009
OSAIC FS, INC.
RIA
CRD#: 3870
AMHERST, NY
Past
January 24, 2006 - February 4, 2009
OSAIC FS, INC.
BD
CRD#: 3870
AMHERST, NY
Past
April 11, 2005 - October 11, 2005
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 11, 2005 - October 11, 2005
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
February 27, 2004 - April 13, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
February 27, 2004 - April 13, 2005
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
October 15, 2001 - February 11, 2004
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
May 1, 2001 - May 9, 2001
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
June 13, 2000 - October 17, 2001
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
January 12, 1993 - May 18, 2000
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
August 14, 1991 - October 16, 1992
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 14, 1991 - October 16, 1992
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
June 3, 1991 - July 2, 1991
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 3, 1991 - July 2, 1991
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
California(11/1/2024)
RR
District of Columbia(11/1/2024)
RR
Florida(11/1/2024)
RR
Georgia(11/1/2024)
RR
Illinois(11/1/2024)
RR
Indiana(10/15/2025)
RR
New Jersey(11/1/2024)
RR
New York(11/1/2024)
IAR
New York(11/1/2024)
RR
North Carolina(11/7/2024)
RR
Pennsylvania(11/1/2024)
RR
Texas(11/1/2024)
IAR
Texas(11/1/2024)
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
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#: 134139Amherst, NY 14228TRUST BUT VERIFY
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Contact information
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