RV
Ramon Valdez
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 2592276
RV
Professional summary
Ramon Valdez JR., who also goes by Ramon Valdez Jr, Ramon Valdez, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Irvine, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Irvine, California.
Ramon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Ramon has worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ramon Valdez Jr | Ramon Valdez
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. PROPERTY MANAGER FOR DAD, 6904 E Gage Ave, Bell Gardens CA 90201, United States, 08/15/2024, Property Manager, NIR, 3 HR/MO - 0 HR/MO TRADING 2. DIRECT FIXED ANNUITY, 7545 Irvine Center Dr., Ste 200, Irvine CA 92618, 09/01/2024, Investment Advisor Representative, Insurance/Benefits/Human Resources, NIR, 2 HR/MO, 2 HR/MO TRADING. 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING, 08/16/2024 4. AXIOM WEALTH ALLIANCE, 730 17th St., Suite 830, Denver CO 80202, United States, 12/01/2022, IAR, DBA Name, NIR, 160 HR/MO, 160 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Ramon Valdez JR.'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
August 16, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 7545 Irvine Center Dr. Suite 200, Irvine, CA 92618Office #2: 730 17th St. Ste. 830, Denver, CO 80202RIA
CRD#: 134139
Irvine, CA
Current
August 15, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 7545 Irvine Center Dr. Ste. 200, Irvine, CA 92618Office #2: 730 17th Street, Suite 830, Denver, CO 80202BD
CRD#: 39543
Irvine, CA
Past
February 18, 2020 - September 9, 2024
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
Irvine, CA
Past
February 14, 2020 - September 9, 2024
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
Irvine, CA
Past
August 28, 2019 - January 30, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
BREA, CA
Past
August 28, 2019 - January 30, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
BREA, CA
Past
August 7, 2015 - September 10, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
BREA, CA
Past
August 7, 2015 - September 10, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
BREA, CA
Past
July 15, 2010 - August 10, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BREA, CA
Past
July 15, 2010 - August 10, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BREA, CA
Past
October 23, 2009 - July 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ONTARIO, CA
Past
October 23, 2009 - July 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ONTARIO, CA
Past
February 22, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
UPLAND, CA
Past
February 22, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
UPLAND, CA
Past
June 7, 2002 - February 25, 2008
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
MONTCLAIR, CA
Past
June 5, 2002 - February 25, 2008
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
MONTCLAIR, CA
Past
January 1, 1999 - June 28, 2002
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
February 20, 1998 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
BD
CRD#: 10823
Past
December 9, 1996 - March 9, 1998
FIMCO SECURITIES GROUP, INC.
BD
CRD#: 30343
PORT WASHINGTON, WI
Past
July 26, 1996 - December 10, 1996
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
April 8, 1996 - July 3, 1996
ASB FINANCIAL SERVICES
BD
CRD#: 24280
IRVINE, CA
Past
September 6, 1995 - April 17, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
Past
July 7, 1995 - August 25, 1995
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, 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
Arizona(10/18/2024)
RR
California(8/15/2024)
IAR
California(8/16/2024)
RR
Colorado(9/26/2024)
IAR
Colorado(10/11/2024)
RR
Hawaii(9/17/2024)
RR
Kentucky(8/30/2024)
RR
Nevada(9/5/2024)
RR
Texas(8/15/2024)
IAR
Texas(8/16/2024)
RR
Utah(9/6/2024)
RR
Washington(8/15/2024)
RR
Wisconsin(9/10/2024)
Exams
State Security Law Exam
State Security Law 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
