KA
Kevin J. Arndt
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Depew, NY 14043
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CRD#: 2517944
KA
Professional summary
Kevin John Arndt is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Depew, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Depew, New York.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kevin has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 51 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. ATTAIN WEALTH, 6430 Transit Rd, Depew NY 14086, United States, 08/25/2025, Agent, DBA Name, NIR, 35 HR/MO - 35 HR/MO TRADING 2. KEVIN J ARNDT, 6430 Transit Rd, Depew NY 14086, United States, 09/2025, Agent, Insurance/Benefits/Human Resources, NIR, HR/MO: 5, HR/MO TRADING: 5 3. PATIENT ADVANTAGE, 2274 Niagara Fls Blvd, Tonawanda NY 14150, United States, 09/2025, Nothing, very small owner, Healthcare, NIR, HR/MO: 0, HR/MO TRADING: 0
CRS (Client Relationship Summary) - RIA
Click below to view Kevin John Arndt'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
September 2, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 6430 Transit Rd. Ste. 100, Depew, NY 14043RIA
CRD#: 134139
Depew, NY
Current
September 2, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 6430 Transit Rd. Ste. 100, Depew, NY 14043BD
CRD#: 39543
Depew, NY
Past
June 14, 2024 - September 11, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
DEPEW, NY
Past
June 14, 2024 - September 11, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
DEPEW, NY
Past
August 19, 2022 - June 14, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
DEPEW, NY
Past
August 19, 2022 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
DEPEW, NY
Past
July 17, 2014 - August 19, 2022
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
Depew, NY
Past
February 9, 2007 - August 19, 2022
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
Depew, NY
Past
December 4, 2003 - July 10, 2006
UNITED SECURITIES ALLIANCE, INC.
RIA
CRD#: 36487
LANCASTER, NY
Past
January 28, 2003 - February 9, 2007
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
LANCASTER, NY
Past
March 29, 2000 - January 31, 2003
LEIGH BALDWIN & CO., LLC
BD
CRD#: 38751
CAZENOVIA, NY
Past
November 26, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
November 26, 1997 - April 11, 2000
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
January 1, 1996 - November 3, 1997
SAPERSTON FINANCIAL INC.
BD
CRD#: 27863
BUFFALO, NY
Past
June 6, 1995 - December 15, 1995
HAROLD C. BROWN & CO., INC.
BD
CRD#: 35222
BUFFALO, NY
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
Connecticut(9/2/2025)
RR
Florida(9/16/2025)
RR
New York(9/2/2025)
IAR
New York(9/2/2025)
RR
Pennsylvania(9/2/2025)
RR
Virginia(9/22/2025)
Exams
State Security Law Exam
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
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Depew, NY 14043TRUST BUT VERIFY
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