KR
Kathleen B. Reeves
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Boca Raton, FL 33433
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CRD#: 2248223
KR
Professional summary
Kathleen Brigitte Reeves, who also goes by Kathleen Brigitte Bowman, Kathleen Bowman, Kathleen B Dicarlo, Kathleen Brigitte Dicarlo, Kathleen B Reeves, Kathleen Brigitte Reeves Bowman, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Boca Raton, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Boca Raton, Florida.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Kathleen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen Brigitte Bowman | Kathleen Bowman | Kathleen B Dicarlo | Kathleen Brigitte Dicarlo | Kathleen B Reeves | Kathleen Brigitte Reeves Bowman
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. BEITLER FINANCIAL GROUP, 7284 WEST PALMETTO PARK ROAD, SUITE 202-S, BOCA RATON FL 33433, United States, 10/18/2011, Owner, S-Corp for Tax and Legal liability protection for owners, NIR 1/MO 0/MO Trading 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADMINISTRATIVE REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 11/04/2024 3. KATHLEEN BRIGITTE REEVES, 7284 West Palmetto Park Road, Suite 202S, Boca Raton FL 33433, United States, 11/01/2024, Agent, Insurance/Benefits/Human Resources, NIR, 1 HR/MO - 1 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Brigitte Reeves'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 4, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 7284 W Palmetto Park Rd. #202-s, Boca Raton, FL 33433RIA
CRD#: 134139
Boca Raton, FL
Current
October 22, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 7284 W Palmetto Park Rd. #202-s, Boca Raton, FL 33433BD
CRD#: 39543
Boca Raton, FL
Past
April 8, 2021 - November 10, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BOCA RATON, FL
Past
April 7, 2021 - November 10, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BOCA RATON, FL
Past
October 9, 2019 - March 31, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Boca Raton, FL
Past
October 4, 2019 - March 31, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Boca Raton, FL
Past
November 23, 2009 - October 10, 2019
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
BOCA RATON, FL
Past
November 5, 2009 - October 10, 2019
FSC SECURITIES CORPORATION
BD
CRD#: 7461
BOCA RATON, FL
Past
October 11, 1999 - August 18, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FT. LAUDERDALE, FL
Past
October 6, 1999 - August 18, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
FT. LAUDERDALE, FL
Past
August 31, 1993 - October 27, 1999
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
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
Florida(10/23/2024)
IAR
Florida(11/4/2024)
Exams
State Security Law Exam
State Security Law 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
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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#: 134139Boca Raton, FL 33433TRUST BUT VERIFY
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