GK
Gregg M. Karal
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
PLANTSVILLE, CT 06479
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CRD#: 2350524
GK
Professional summary
Gregg Mitchell Karal is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Plantsville, Connecticut and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Plantsville, Connecticut.
Gregg is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Gregg has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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.INDEPENDENT INSURANCE AGENT, PLAINVILLE, CT, 4/1995 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/MO - 10/TRADING. 2. GREGG KARAL, OWNER/BROKER, FIXED AND MEDICAL INSURANCE SALES AND SERVICE, NOT-INVESTMENT RELATED, SOLE PROP, SINCE 1992, 15 HOURS PER MONTH, MINIMAL HOURS DURING SECURITIES TRADING HOURS VARIES. 3.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. 4.ASSOCIATED TAX, 1143 MERIDEN-WATERBURY TURNPIKE, PLANTSVILLE, CT, 01/2019. TAX PREPARER. NIR-10/WK-5/TRADING. 5.AARP TAX AIDE, 601 E STREET, WASHINGTON, DC, 01/2019. TAX PREPARER. NIR-66/YR-6/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Gregg Mitchell Karal'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 16, 2006 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1143 Meriden Waterbury Turnpike, Plantsville, CT 06479RIA
CRD#: 134139
PLANTSVILLE, CT
Current
November 16, 2006 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1143 Meriden Waterbury Turnpike, Plantsville, CT 06479BD
CRD#: 39543
Plantsville, CT
Past
January 13, 2006 - October 27, 2006
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
GLASTONBURY, CT
Past
November 21, 2005 - October 27, 2006
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
GLASTONBURY, CT
Past
February 4, 2002 - December 16, 2005
ADVEST, INC.
RIA
CRD#: 10
HARTFORD, CT
Past
June 12, 2001 - December 16, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
November 22, 1999 - April 17, 2001
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
October 1, 1997 - November 10, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
May 3, 1995 - October 1, 1997
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
October 4, 1993 - April 27, 1995
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
PITTSFIELD, MA
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
Colorado(3/14/2024)
RR
Connecticut(11/16/2006)
IAR
Connecticut(11/16/2006)
RR
Florida(6/4/2008)
RR
Georgia(1/4/2022)
RR
Illinois(1/3/2025)
RR
Massachusetts(2/7/2012)
RR
New Hampshire(9/8/2023)
RR
New York(11/16/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
