EB
Enrico H. Bawar
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Staten Island, NY
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CRD#: 2167121
EB
Professional summary
Enrico Hukom Bawar, who also goes by Rick Bawar, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Staten Island, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Staten Island, New York.
Enrico is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Enrico has worked at 13 firms and has passed the Series 63, Series 72, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Bawar
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) PRESIDENT AND ROTARY CLUB BOARD MEMBER, 697 forest Ave, Staten Island NY 10310, 07/01/2024, President, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 5 HR/MO, 2 HR/MO TRADING. 2) SIBOC, 697 FOREST AVE, STATEN ISLAND, NY, 12/2021, BOARD MEMBER, NIR, 1 HR/MO, 0 HR/MO TRADING. 3) COMMUNITY AGENCY FOR SENIOR CITIZENS(CASC), 120 STUYVERSANT PL, SUITE 409, STATEN ISLAND, NY, 12/2019, BOARD MEMBER/TREASURER, NIR, 1 HR/MO, 0 HR/MO TRADING. 4) BAWAR ASSET MANAGEMENT LLC, 104 CARTERET ST, STATEN ISLAND, NY, 08/2022, OWNER, DBA, INV REL, 200 HR/MO, 160 HR/MO TRADING. 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 08/2022, ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 6) PHILIPPINE INDEPENDENCE COMMITTEE OF STATEN ISLAND, 18 LIVINGSTON CT, STATEN ISLAND NY 10310, 03/2024, BOARD MEMBER, DIRECTOR, NIR, 3 HR/MO - 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Enrico Hukom Bawar'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
August 16, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Staten Island, NY
Current
August 16, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Staten Island, NY
Past
June 14, 2021 - August 18, 2022
OSAIC FA, INC.
RIA
CRD#: 3978
NEW YORK, NY
Past
May 22, 2015 - August 18, 2022
OSAIC FA, INC.
BD
CRD#: 3978
NEW YORK, NY
Past
January 28, 2014 - August 5, 2014
SEIDEL & CO., LLC
BD
CRD#: 42821
NEW YORK, NY
Past
May 2, 2013 - January 27, 2014
HARTFIELD, TITUS & DONNELLY, LLC
BD
CRD#: 7117
JERSEY CITY, NJ
Past
March 1, 2007 - March 7, 2013
BGC FINANCIAL, L.P.
BD
CRD#: 19801
NEW YORK, NY
Past
February 15, 2007 - May 1, 2008
MINT BROKERS
BD
CRD#: 13681
NEW YORK, NY
Past
April 25, 1997 - February 14, 2007
TP ICAP GLOBAL MARKETS AMERICAS LLC
BD
CRD#: 2762
NEW YORK, NY
Past
October 15, 1996 - April 9, 1997
CHAPDELAINE CORPORATE SECURITIES & CO
BD
CRD#: 23741
NEW YORK, NY
Past
May 19, 1996 - October 14, 1996
PEREGRINE BROKERAGE INC.
BD
CRD#: 27437
Past
November 10, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
BD
CRD#: 7242
Past
November 10, 1993 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
BD
CRD#: 19655
Past
November 10, 1993 - March 15, 1996
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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(10/3/2024)
RR
Connecticut(9/13/2023)
RR
Florida(9/26/2023)
RR
Indiana(10/5/2022)
RR
Michigan(11/15/2022)
RR
New Jersey(8/19/2022)
IAR
New York(8/16/2022)
RR
New York(8/18/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government 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
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.
