KM
Kevin T. Mccauley
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Cherry Hill, NJ 08002
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CRD#: 2492794
KM
Professional summary
Kevin Thomas Mccauley is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Cherry Hill, New Jersey and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Cherry Hill, New Jersey.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 52 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)SQUAREONE INVESTMENTS, 7 CUTHBERT BLVD STE A, HADDON TWSHP, NJ, 12/2013 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/MO - 10/TRADING. 2)NOTARY PUBLIC, HADDON TOWNSHIP, NJ, SINCE 11/2014. NIR - DEVOTES 2 HR/YR - 2 HR/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 4/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4. TAX PREPARER, 923 HADDONFIELD RD STE 300, CHERRY HILL, NJ, 02/2019. TAX PREPARER. NIR-10/MO-0/TRADING. 5) WEST COLLINGSWOOD EXTENSION CIVIC ASSOCIATION BOARD, 3010 Lynne Avenue, Haddon Township NJ 08107, 01/2025, TREASURER, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 4 HR/MO - 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Thomas Mccauley'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
October 31, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 923 Haddonfield Road, Suite 300, Cherry Hill, NJ 08002Office #2: 807 N. Haddon Ave, Suite 105, Haddonfield, NJ 08033RIA
CRD#: 134139
Cherry Hill, NJ
Current
October 30, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 923 Haddonfield Road, Suite 300, Cherry Hill, NJ 08002Office #2: 807 N. Haddon Ave, Suite 105, Haddonfield, NJ 08033BD
CRD#: 39543
Cherry Hill, NJ
Past
April 2, 2007 - November 3, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PHILADELPHIA, PA
Past
December 3, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PHILADELPHIA, PA
Past
May 22, 1996 - December 18, 1998
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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(11/3/2022)
RR
Delaware(10/8/2010)
RR
Florida(1/2/2019)
RR
Georgia(3/16/2011)
RR
Massachusetts(1/17/2025)
RR
Michigan(1/11/2023)
RR
New Jersey(10/30/2008)
IAR
New Jersey(10/31/2008)
RR
New York(10/30/2008)
RR
Pennsylvania(10/30/2008)
RR
Texas(7/18/2019)
IAR
Texas(7/18/2019)
RR
Virginia(2/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
