RC
Roger J. Conde
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Manhattan Beach, CA
Some features on this profile are disabled
CRD#: 2477484
RC
Professional summary
Roger Joel Conde, AIF® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Manhattan Beach, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Hermosa Beach, California.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Roger has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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) INSURANCE / 1646 Nelson Ave., Manhattan Beach, Manhattan Beach CA 90266 / 01/01/2010 / INV REL / INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES / 10 HR/MO - 5 HR/MO TRADING 2) JLIFE WEALTH MANAGEMENT / 1646 Nelson Ave., Manhattan Beach CA 90266 / 05/07/2019 / INV REL / OWNER - DBA FOR ADVISORY BUSINESS / 160 HR/MO - 160 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. 03/30/2022
CRS (Client Relationship Summary) - RIA
Click below to view Roger Joel Conde'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®
Experience
Current
March 30, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 2447 Pacific Coast Highway 2nd Floor, Hermosa Beach, CA 90254RIA
CRD#: 134139
Manhattan Beach, CA
Current
March 30, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2447 Pacific Coast Highway 2nd Floor, Hermosa Beach, CA 90254BD
CRD#: 39543
Hermosa Beach, CA
Past
October 31, 2019 - March 30, 2022
FOUNDERS FINANCIAL SECURITIES LLC
RIA
CRD#: 137945
Manhattan Beach, CA
Past
October 31, 2019 - March 30, 2022
FOUNDERS FINANCIAL SECURITIES LLC
BD
CRD#: 137945
Manhattan Beach, CA
Past
January 17, 2014 - July 3, 2019
IRA WEALTH MANAGEMENT
RIA
CRD#: 133403
EL SEGUNDO, CA
Past
July 18, 2013 - October 31, 2019
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
EL SEGUNDO, CA
Past
July 17, 2013 - October 31, 2019
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
El Segundo, CA
Past
September 22, 2011 - July 25, 2013
FINANCIAL COUNSELING RESOURCES LLC
RIA
CRD#: 108743
LOS ALAMITOS, CA
Past
February 5, 2009 - December 31, 2015
PACIFIC RETIREMENT ADVISORS, INC
RIA
CRD#: 148936
EL SEGUNDO, CA
Past
April 1, 2008 - July 18, 2013
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
MANHATTAN BEACH, CA
Past
April 1, 2008 - July 18, 2013
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
MANHATTAN BEACH, CA
Past
September 10, 2007 - April 2, 2008
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
EL SEGUNDO, CA
Past
April 10, 2007 - April 2, 2008
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
EL SEGUNDO, CA
Past
November 3, 2005 - April 16, 2007
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
EL SEGUNDO, CA
Past
November 3, 2005 - April 16, 2007
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
EL SEGUNDO, CA
Past
October 31, 2005 - November 7, 2005
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
September 22, 2005 - November 1, 2005
IRA WEALTH MANAGEMENT
RIA
CRD#: 133403
EL SEGUNDO, CA
Past
July 15, 2002 - September 12, 2005
PENNIALL & ASSOCIATES, INC.
RIA
CRD#: 121336
PASADENA, CA
Past
August 8, 2001 - August 1, 2002
SUNAMERICA SECURITIES, INC.
RIA
CRD#: 20068
EL SEGUNDO, CA
Past
November 18, 1997 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
August 8, 1997 - November 28, 1997
FIMCO SECURITIES GROUP, INC.
BD
CRD#: 30343
PORT WASHINGTON, WI
Past
June 27, 1994 - July 30, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
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(3/30/2022)
RR
Arizona(3/30/2022)
RR
California(3/30/2022)
IAR
California(3/30/2022)
RR
Colorado(4/3/2025)
RR
Florida(3/30/2022)
RR
Idaho(3/30/2022)
RR
Illinois(3/30/2022)
RR
Maryland(10/11/2022)
RR
Nevada(3/30/2022)
RR
South Carolina(3/30/2022)
RR
Texas(3/30/2022)
IAR
Texas(3/30/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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.
