SL
Scott A. Lebauer
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Golden, CO 80401
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CRD#: 2156800
SL
Professional summary
Scott Alan Lebauer is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Golden, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Golden, Colorado.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 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) LEBAUER FINANCIAL DESIGN LLC, 450 KINGS LANDING RD, HAMPSTEAD, NC, 06/1990, OWNER, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 100 HR/MO, 60 HR/MO TRADING. 2) 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. 3) LEBAUER FAMILY LIMITED PARTNERSHIP, 8 BEACH ROAD SOUTH, WILMINGTON, NC, 08/1999, FAMILY PARTNERSHIP, NIR, 0 HR/YR, 0 HR/YR TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Alan Lebauer'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
January 27, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 350 Indiana Street, Suite 730, Golden, CO 80401Office #2: 450 Kings Landing Rd, Hampstead, NC 28443RIA
CRD#: 134139
Golden, CO
Current
January 29, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 350 Indiana Street, Suite 730, Golden, CO 80401Office #2: 450 Kings Landing Rd, Hampstead, NC 28443BD
CRD#: 39543
Golden, CO
Past
January 24, 2013 - December 31, 2015
TLG ADVISORS, INC.
RIA
CRD#: 111052
HIGHLANDS RANCH, CO
Past
May 24, 2005 - December 31, 2015
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
February 9, 2001 - June 2, 2005
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
DENVER, CO
Past
March 1, 2000 - June 2, 2005
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
October 6, 1998 - March 2, 2000
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
September 29, 1992 - October 1, 1998
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
September 29, 1992 - October 1, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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(2/16/2016)
RR
California(1/29/2016)
RR
Colorado(1/29/2016)
IAR
Colorado(2/1/2019)
RR
Hawaii(2/1/2016)
RR
Illinois(1/29/2016)
RR
Louisiana(1/29/2016)
RR
North Carolina(2/1/2016)
IAR
North Carolina(7/10/2018)
RR
Ohio(2/1/2016)
RR
South Carolina(11/27/2023)
RR
Texas(10/20/2016)
IAR
Texas(10/20/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/4/2025
General Securities Representative ExaminationGeneral 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Golden, CO 80401TRUST BUT VERIFY
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