SA
Sergio G. Alcazar
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Highlands Ranch, CO
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CRD#: 2588983
SA
Professional summary
Sergio Gonzalez Alcazar, who also goes by Sergio Alcazar, Sergio Gonzalezalcazar, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Highlands Ranch, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Highland Ranch, Colorado.
Sergio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Sergio has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sergio Alcazar | Sergio Gonzalezalcazar
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) PRODUCER'S FIN NETWORK, 5350 TOMAH DR, COLORADO SPRINGS, CO, 2/2008 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INSURANCE COMPANIES. INV REL - 5/WK - 1/TRADING. 2) RENTAL PROPERTY, HIGHLANDS RANCH, CO. STARTED 06/2000 AS OWNER/LANDLORD. SPENDS 5-15HRS/YEARLY, NONE DURING TRADING. 3) SURVEY/RESEARCH CONSULTANT, 10290 LAUREN CT, HIGHLANDS RANCH, CO, 80130, SINCE 1/2015.PARTICIPATE IN A MARKET RESEARCH PROJECT WITH COMPANIES. THIS NOT A SCHEDULED THING, RESULT OF RANDOM REACH OUTS. NOT INVESTMENT RELATED - DEVOTES 5 HR/YR - NONE DURING TRADING. 4) ALC GLOBAL ADVENTURES, 10290 LAUREN CT, HIGHLANDS RANCH, CO, 80130, SINCE 4/2015 AS PRESIDENT/OWNER. NOT INVESTMENT RELATED - DEVOTES 3 HR/WK - NONE DURING TRADING. 5) CABELA'S, ONE CABELA DR, SIDNEY, NE, 1/2017 AS PRO STAFF MEMBER. NIR - 15/YR - 0/TRADING. 6) OUT TECH, 264 EAST GARFIELD RD, AURORA, OH, 2/2018, AS PRO STAFF AND HOLDING SEMINARS, NIR, 12HRS/YR, 0HRS/TRADING. 7) ALC WEALTH MANAGEMENT, 10290 LAUREN CT, HIGHLANDS RANCH, CO, CEO- S CORP,INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL- 40/WK- 40/TRADING 8) NATION OUTDOOR SPORTSMAN GROUP, 6385 FLANK DRIVE, STE 800, HARRISBURG, PA, AUTHOR- HUNTING RELATED ARTICLES OUTDOOR INDUSTRY, NIR, 10/YR- 0/TRADING 9) MOJO OUTDOORS, 623 HWY 594, MONROE, LA, TV HOST PARTICIPANT - PROMOTION OF HUNTING CONSULTING COMPANY ALC GLOBAL ADVENTURES, NIR, 100/YR- 0/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Sergio Gonzalez Alcazar'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
July 5, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Highlands Ranch, CO
Current
November 14, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
HIGHLAND RANCH, CO
Past
March 1, 2007 - November 4, 2013
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
GREENWOOD VILLAGE, CO
Past
January 2, 2001 - March 1, 2007
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
DENVER, CO
Past
January 4, 1999 - January 2, 2001
JWGENESIS FINANCIAL GROUP, INC
BD
CRD#: 38166
BOCA RATON, FL
Past
March 29, 1995 - January 4, 1999
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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(11/14/2013)
IAR
Colorado(7/5/2023)
RR
Florida(11/14/2013)
RR
Idaho(11/14/2013)
RR
Kansas(11/14/2013)
RR
Maryland(11/14/2013)
RR
Missouri(1/20/2023)
RR
Nebraska(2/10/2025)
RR
New York(2/3/2016)
RR
North Carolina(11/14/2013)
RR
Texas(11/14/2013)
IAR
Texas(7/5/2023)
RR
Wisconsin(8/24/2015)
Exams
State Security Law Exam
State Security Law 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
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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.
