Kimberly K. Gaxiola
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Morgan Hill, CA 95037
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CRD#: 2649903
Professional summary
Kimberly Klor Gaxiola, CFP®, who also goes by Kim Gaxiola, Kimberly Ann Klor, Kimberly Ann Klorgaxiola Mrs., Kimberly Ann Klorgaxiola, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Morgan Hill, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Morgan Hill, California.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kimberly has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kim Gaxiola | Kimberly Ann Klor | Kimberly Ann Klorgaxiola Mrs. | Kimberly Ann Klorgaxiola
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) KIM GAXIOLA, SOLE PROPRIETOR, 15930 LA ESCUELA, MORGAN HILL, CA 95037 ; BEGAN 12/01/2014 ; AS CONSULTANT ; NOT INVESTMENT RELATED ; DEVOTES 10 HR/MO ; NONE DURING TRADING HOURS. 2) INDEPENDENT INSURANCE AGENT, 305 VINEYARD TOWN CTR, #369, MORGAN HILL, CA, 1/2010 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10 HR/YR - 0/TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 15 HR/WK - 3/TRADING. SEE REGISTRATION HISOTRY FOR START DATE. 4) RENTAL PROPERTY / 15930 La Escuela Ct, Morgan Hill CA 95037 / 06/17/2022 / NIR / OWNER - HELD UNDER THE VICTOR AND KIMBERLY GAXIOLA REV TRUST / 2 HR/MO - 0 HR/MO TRADING 5) TECHGIRL FINANCIAL, 155 E MAIN AVE, MORGAN HILL CA 95037, 10/16/2023, OWNER USING A TRADE/NAME DBA, INV REL, 40 HR/WK - 40 HR/TRADING 6) RESILIENT WEALTH PLANNING, 18181 Butterfield Blvd, Ste 170, Morgan HIll CA 95037-8112, 01/2025, Owner, DBA Name, NIR, 40 HR/MO, 40 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Klor Gaxiola'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®
CFP®
Start date: 2009
Experience
Current
October 19, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 18181 Butterfield Ste 170, Morgan Hill, CA 95037RIA
CRD#: 134139
Morgan Hill, CA
Current
October 18, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 18181 Butterfield Ste 170, Morgan Hill, CA 95037BD
CRD#: 39543
Morgan Hill, CA
Past
January 1, 2008 - October 19, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN JOSE, CA
Past
January 1, 2008 - October 19, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN JOSE, CA
Past
October 27, 2004 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
WOODSTOCK, IL
Past
October 12, 2004 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
WOODSTOCK, IL
Past
November 25, 1998 - March 22, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 10, 1996 - July 9, 1998
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
January 2, 1996 - September 13, 1996
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
NEW YORK, NY
Past
September 1, 1995 - January 2, 1996
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, 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(1/3/2022)
RR
California(10/18/2010)
IAR
California(10/19/2010)
RR
Colorado(5/6/2015)
RR
Florida(10/18/2010)
RR
Illinois(10/18/2010)
RR
Indiana(11/11/2025)
RR
Kentucky(8/3/2018)
RR
Michigan(6/13/2013)
RR
Nevada(10/18/2010)
RR
Oregon(10/18/2010)
RR
South Dakota(9/5/2019)
RR
Washington(6/7/2021)
RR
Wisconsin(10/18/2010)
Exams
State Security Law Exam
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Morgan Hill, CA 95037TRUST BUT VERIFY
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