SK
Steven R. Kahn
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Birmingham, AL 35243
Some features on this profile are disabled
CRD#: 2442215
SK
Professional summary
Steven Richard Kahn is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Birmingham, Alabama and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Birmingham, Alabama.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 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) GREYSTONE CAPITAL MANAGEMENT INC, 3535 GRANDVIEW PARKWAY, STE 400, BIRMINGHAM, AL, 10/01/2012 AS PRESIDENT/OWNER- S-CORP FOR LIABILITY PURPOSES. INV REL - 5 HR/MO, 5 HR/TRADING. 2) GREYSTONE CAPITAL MANAGEMENT, 3535 GRANDVIEW PARKWAY, STE 400, BIRMINGHAM, AL, TRUSTEE OF IRREVOCABLE TRUST FOR JEFFREY PORPHY, 8/19/2014. INV REL - 2 HR/YR - 0/TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 35/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4) STEVEN R KAHN, 3535 GRANDVIEW PARKWAY, STE 400, BIRMINGHAM, AL, EXECUTOR TO WILL, 12/01/14, NIR, 0/MO- 0/TRADING 5) GREYSTONE CAPITAL MANAGEMENT, 3535 GRANDVIEW PARKWAY, STE 400, BIRMINGHAM, AL, DBA PRESIDENT, 03/02/17, INV REL,40/WK- 35/TRADING 6) STEVEN KAHN, 3535 Grandview Pkwy, Suite 400, Birmingham AL 35243, United States, 01/2015, Investment Advisor Representative, Insurance/Benefits/Human Resources, INV REL, HR/MO: 1, HR/MO Trading: 1
CRS (Client Relationship Summary) - RIA
Click below to view Steven Richard Kahn'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
March 24, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 3535 Grandview Parkway Suite 400, Birmingham, AL 35243RIA
CRD#: 134139
Birmingham, AL
Current
August 18, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Birmingham, AL
Past
June 6, 2013 - March 24, 2017
PMD ADVISORY
RIA
CRD#: 159443
BIRMINGHAM, AL
Past
October 23, 2009 - August 19, 2014
STONEX SECURITIES INC.
BD
CRD#: 18456
BIRMINGHAM, AL
Past
September 11, 2009 - April 9, 2013
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
BIRMINGHAM, AL
Past
September 11, 2009 - January 18, 2012
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BIRMINGHAM, AL
Past
July 26, 2005 - September 1, 2009
NBC SECURITIES, INC.
RIA
CRD#: 17870
BIRMINGHAM, AL
Past
November 2, 1999 - September 1, 2009
NBC SECURITIES, INC.
BD
CRD#: 17870
BIRMINGHAM, AL
Past
February 28, 1996 - November 11, 1999
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BIRMINGHAM, AL
Past
March 14, 1994 - February 5, 1996
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
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
Alabama(8/18/2014)
IAR
Alabama(3/24/2017)
RR
Arizona(1/2/2024)
RR
Arkansas(4/26/2021)
RR
Florida(4/26/2021)
RR
Georgia(4/26/2021)
RR
Kentucky(4/26/2021)
RR
Louisiana(4/19/2021)
RR
Mississippi(4/26/2021)
RR
Missouri(4/26/2021)
RR
New Jersey(8/18/2014)
RR
North Carolina(4/26/2021)
RR
South Carolina(4/19/2021)
RR
Tennessee(1/3/2022)
RR
Texas(4/19/2021)
IAR
Texas(4/20/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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#: 134139Birmingham, AL 35243TRUST BUT VERIFY
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